CFR-part 1355

SUBCHAPTER G—THE ADMINISTRATION ON CHILDREN,
YOUTH AND FAMILIES, FOSTER CARE MAINTENANCE
PAYMENTS, ADOPTION ASSISTANCE, AND CHILD AND
FAMILY SERVICES
PART 1355—GENERAL
Sec.
1355.10 Scope.
1355.20 Definitions.
1355.21 Plan requirements for titles IV–E
and IV–B.
1355.25 Principles of child and family services.
1355.30 Other applicable regulations.
1355.31 Elements of the child and family
services review system.
1355.32 Timetable for the reviews.
1355.33 Procedures for the review.
1355.34 Criteria for determining substantial
conformity.
1355.35 Program improvement plans.
1355.36 Withholding Federal funds due to
failure to achieve substantial conformity
or failure to successfully complete a program improvement plan.
1355.37 Opportunity for public inspection of
review reports and materials.
1355.38 Enforcement of section 471(a)(18) of
the Act regarding the removal of barriers
to interethnic adoption.
1355.39 Administrative and judicial review.
1355.40 Foster care and adoption data collection.
1355.50 Purpose of this part.
1355.52 Funding authority for statewide or
Tribal automated child welfare information systems (SACWIS/TACWIS).
1355.53 Conditions for approval of funding.
1355.54 Submittal of advance planning documents.
1355.55 Review and assessment of the system developed with enhanced funds.
1355.56 Failure to meet the conditions of the
approved APD.
1355.57 Cost allocation.
APPENDIX A TO PART 1355—FOSTER CARE
DATA ELEMENTS.
APPENDIX B TO PART 1355—ADOPTION DATA
ELEMENTS.
APPENDIX C TO PART 1355—ELECTRONIC DATA
TRANSMISSION FORMAT.
APPENDIX D TO PART 1355—FOSTER CARE AND
ADOPTION RECORD LAYOUTS.
APPENDIX E TO PART 1355—DATA STANDARDS.

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AUTHORITY: 42 U.S.C. 620 et seq., 42 U.S.C.
670 et seq.; 42 U.S.C. 1302.

§ 1355.10 Scope.
Unless otherwise specified, part 1355
applies to States and Indian Tribes and
contains general requirements for Fed-

eral financial participation under titles
IV-B and IV-E of the Social Security
Act.
[61 FR 58653, Nov. 18, 1996]

§ 1355.20

Definitions.

(a) Unless otherwise specified, the
following terms as they appear in 45
CFR parts 1355, 1356 and 1357 of this
title are defined as follows—
Act means the Social Security Act, as
amended.
ACYF means the Administration on
Children, Youth and Families, Administration for Children and Families
(ACF), U. S. Department of Health and
Human Services.
Adoption means the method provided
by State law, or for a Tribal title IV–E
agency, Tribal law, which establishes
the legal relationship of parent and
child between persons who are not so
related by birth, with the same mutual
rights and obligations that exist between children and their birth parents.
This relationship can only be termed
‘‘adoption’’ after the legal process is
complete.
Child abuse and neglect means the definition contained in 42 U.S.C. 5106(g)(2).
Child care institution means a private
child care institution, or a public child
care institution which accommodates
no more than twenty-five children, and
is licensed by the licensing authority
responsible for licensing or approval of
institutions of this type as meeting the
standards established for such licensing. The licensing authority must be a
State authority in the State in which
the child care institution is located, a
Tribal authority with respect to a child
care institution on or near an Indian
Reservation, or a Tribal authority of a
Tribal title IV–E agency with respect
to a child care institution in the Tribal
title IV–E agency’s service area. This
definition must not include detention
facilities, forestry camps, training
schools, or any other facility operated

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§ 1355.20

45 CFR Ch. XIII (10–1–12 Edition)

primarily for the detention of children
who are determined to be delinquent.
Commissioner means the Commissioner on Children, Youth and Families, Administration for Children and
Families, U.S. Department of Health
and Human Services.
Date a child is considered to have entered foster care means the earlier of:
The date of the first judicial finding
that the child has been subjected to
child abuse or neglect; or, the date that
is 60 calendar days after the date on
which the child is removed from the
home pursuant to § 1356.21(k). A title
IV–E agency may use a date earlier
than that required in this definition,
such as the date the child is physically
removed from the home. This definition determines the date used in calculating all time period requirements for
the periodic reviews, permanency hearings, and termination of parental
rights provision in section 475(5) of the
Act and for providing time-limited reunification services described at section 431(a)(7) of the Act. The definition
has no relationship to establishing initial title IV-E eligibility.
Department means the United States
Department of Health and Human
Services.
Detention facility in the context of the
definition of child care institution in
section 472(c)(2) of the Act means a
physically restricting facility for the
care of children who require secure custody pending court adjudication, court
disposition, execution of a court order
or after commitment.
Entity, as used in § 1355.38, means any
organization or agency (e.g., a private
child placing agency) that is separate
and independent of the title IV–E agency; performs title IV–E functions pursuant to a contract or subcontract with
the title IV–E agency; and, receives
title IV–E funds. A State or Tribal
court is not an ‘‘entity’’ for the purposes of § 1355.38 except if an administrative arm of the State or Tribal
court carries out title IV–E administrative functions pursuant to a contract with the title IV–E agency.
Foster care means 24-hour substitute
care for children placed away from
their parents or guardians and for
whom the title IV–E agency has placement and care responsibility. This in-

cludes, but is not limited to, placements in foster family homes, foster
homes of relatives, group homes, emergency shelters, residential facilities,
child care institutions, and preadoptive
homes. A child is in foster care in accordance with this definition regardless of whether the foster care facility
is licensed and payments are made by
the State, Tribal or local agency for
the care of the child, whether adoption
subsidy payments are being made prior
to the finalization of an adoption, or
whether there is Federal matching of
any payments that are made.
Foster care maintenance payments are
payments made on behalf of a child eligible for title IV-E foster care to cover
the cost of (and the cost of providing)
food, clothing, shelter, daily supervision, school supplies, a child’s personal incidentals, liability insurance
with respect to a child, and reasonable
travel for a child’s visitation with family, or other caretakers. Local travel
associated with providing the items
listed above is also an allowable expense. In the case of child care institutions, such term must include the reasonable costs of administration and operation of such institutions as are necessarily required to provide the items
described in the preceding sentences.
‘‘Daily supervision’’ for which foster
care maintenance payments may be
made includes:
(1) Foster family care—licensed child
care, when work responsibilities preclude foster parents from being at
home when the child for whom they
have care and responsibility in foster
care is not in school, licensed child
care when the foster parent is required
to participate, without the child, in activities associated with parenting a
child in foster care that are beyond the
scope of ordinary parental duties, such
as attendance at administrative or judicial reviews, case conferences, or foster parent training. Payments to cover
these costs may be: included in the
basic foster care maintenance payment; a separate payment to the foster
parent, or a separate payment to the
child care provider; and
(2) Child care institutions—routine
day-to-day direction and arrangements
to ensure the well-being and safety of
the child.

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Office of Human Development Services, HHS
Foster family home means, for the purpose of title IV–E eligibility, the home
of an individual or family licensed or
approved as meeting the standards established by the licensing or approval
authority(ies), that provides 24-hour
out-of-home care for children. The licensing authority must be a State authority in the State in which the foster
family home is located, a Tribal authority with respect to a foster family
home on or near an Indian Reservation,
or a Tribal authority of a Tribal title
IV–E agency with respect to a foster
family home in the Tribal title IV–E
agency’s service area. The term may
include group homes, agency-operated
boarding homes or other facilities licensed or approved for the purpose of
providing foster care by the State or
Tribal agency responsible for approval
or licensing of such facilities. Foster
family homes that are approved must
be held to the same standards as foster
family homes that are licensed. Anything less than full licensure or approval is insufficient for meeting title
IV–E eligibility requirements. Title
IV–E agencies may, however, claim
title IV–E reimbursement during the
period of time between the date a prospective foster family home satisfies
all requirements for licensure or approval and the date the actual license
is issued, not to exceed 60 days.
Full review means the joint Federal
and title IV–E agency review of all federally-assisted child and family services programs, including family preservation and support services, child protective services, foster care, adoption,
and independent living services, for the
purpose of determining the title IV–E
agency’s substantial conformity with
the plan requirements of titles IV–B
and IV–E as listed in § 1355.34 of this
part. A full review consists of two
phases, the statewide assessment (or
for a Tribal title IV–E agency, an assessment of the service area) and a subsequent on-site review, as described in
§ 1355.33 of this part.
Legal guardianship means a judicially-created relationship between
child and caretaker which is intended
to be permanent and self-sustaining as
evidenced by the transfer to the caretaker of the following parental rights
with respect to the child: protection,

§ 1355.20

education, care and control of the person, custody of the person, and decision-making. The term legal guardian
means the caretaker in such a relationship.
National Child Abuse and Neglect Data
System (NCANDS) means the voluntary
national data collection and analysis
system established by the Administration for Children and Families in response to a requirement in the Child
Abuse Prevention and Treatment Act
(Pub. L. 93–247), as amended.
Partial review means:
(1) For the purpose of the child and
family services review, the joint Federal and State/Tribal review of one or
more federally-assisted child and family services program(s), including family preservation and support services,
child protective services, foster care,
adoption, and independent living services. A partial review may consist of
any of the components of the full review, as mutually agreed upon by the
title IV–E agency and the Administration for Children and Families as being
sufficient to determine substantial
conformity of the reviewed components
with the plan requirements of titles
IV–B and IV–E as listed in § 1355.34 of
this part;
(2) For the purpose of title IV–B and
title IV–E State plan compliance issues
that are outside the prescribed child
and family services review format, e.g.,
compliance with AFCARS requirements, a review of State laws, policies,
regulations, or other information appropriate to the nature of the concern,
to determine State compliance; or
(3) For the purpose of title IV–E plan
compliance issues for a Tribal title IV–
E agency which are outside of the prescribed child and family services review format, a review of Tribal laws,
policies, regulations, or other information appropriate to the nature of the
concern, to determine plan compliance.
Permanency hearing means:
(1) The hearing required by section
475(5)(C) of the Act to determine the
permanency plan for a child in foster
care. Within this context, the court
(including a Tribal court) or administrative body determines whether and,
if applicable, when the child will be:
(i) Returned to the parent;

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§ 1355.21

45 CFR Ch. XIII (10–1–12 Edition)

(ii) Placed for adoption, with the
title IV–E agency filing a petition for
termination of parental rights;
(iii) Referred for legal guardianship;
(iv) Placed permanently with a fit
and willing relative; or
(v) Placed in another planned permanent living arrangement, but only in
cases where the title IV–E agency has
documented to the State or Tribal
court a compelling reason for determining that it would not be in the best
interests of the child to follow one of
the four specified options above.
(2) The permanency hearing must be
held no later than 12 months after the
date the child is considered to have entered foster care in accordance with
the definition at § 1355.20 of this part or
within 30 days of a judicial determination that reasonable efforts to reunify
the child and family are not required.
After the initial permanency hearing,
subsequent permanency hearings must
be held not less frequently than every
12 months during the continuation of
foster care. The permanency hearing
must be conducted by a family or juvenile court or another court of competent jurisdiction or by an administrative body appointed or approved by
the court which is not a part of or
under the supervision or direction of
the title IV–E agency. Paper reviews,
ex parte hearings, agreed orders, or
other actions or hearings which are not
open to the participation of the parents
of the child, the child (if of appropriate
age), and foster parents or preadoptive
parents (if any) are not permanency
hearings.
State means, for title IV-B, the 50
States, the District of Columbia, the
Commonwealth of Puerto Rico, Guam,
the Virgin Islands, the Commonwealth
of the Northern Mariana Islands, and
American Samoa. For title IV-E the
term ‘‘State’’ means the 50 States, the
District of Columbia, the Commonwealth of Puerto Rico, the United
States Virgin Islands, Guam, and
American Samoa.
State agency means the State agency
administering or supervising the administration of the title IV-B and title
IV-E State plans and the title XX social services block grant program. An
exception to this requirement is permitted by section 103(d) of the Adop-

tion Assistance and Child Welfare Act
of 1980 (Pub. L. 96–272). Section 103(d)
provides that, if on December 1, 1974,
the title IV-B program (in a State or
local agency) and the social services
program under section 402(a)(3) of the
Act (the predecessor program to title
XX) were administered by separate
agencies, that separate administration
of the programs could continue at
State option.
Statewide assessment (or Tribal assessment) means the initial phase of a full
review of all federally-assisted child
and family services programs in the
States (or for a Tribal title IV–E agency, in the service area), including family preservation and support services,
child protective services, foster care,
adoption, and independent living services as described in § 1355.33(b) of this
part, for the purpose of determining
substantial conformity with the plan
requirements of titles IV–B and IV–E
as listed in § 1355.34 of this part.
Title IV–E agency means the State or
Tribal agency administering or supervising the administration of the title
IV–B and title IV–E plans.
Tribal agency means, for the purpose
of title IV–E, the agency of the Indian
Tribe, Indian Tribal organization (as
those terms are defined in section
479B(a) of the Act) or consortium of Indian Tribes that is administering or supervising the administration of the
title IV–E and title IV–B, subpart 1
plan.
(b) Unless otherwise specified, the
definitions contained in section 475 of
the Act apply to all programs under titles IV-E and IV-B of the Act.
[48 FR 23114, May 23, 1983, as amended at 57
FR 30429, July 9, 1992; 58 FR 67924, Dec. 22,
1993; 61 FR 58653, Nov. 18, 1996; 65 FR 4076,
Jan. 25, 2000; 66 FR 58675, Nov. 23, 2001; 77 FR
925, Jan. 6, 2012]

§ 1355.21 Plan requirements for titles
IV–E and IV–B.
(a) The plans for titles IV–E and IV–
B must provide for safeguards on the
use and disclosure of information
which meet the requirements contained in section 471(a)(8) of the Act.
(b) The plans for titles IV–E and IV–
B must provide for compliance with the
Department’s regulations applicable to

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Office of Human Development Services, HHS
the State and/or Tribe as listed in 45
CFR 1355.30.
(c) The State agency and the Indian
Tribe must make available for public
review and inspection the Child and
Family Services Plan (CFSP) and the
Annual Progress and Services Reports.
(See 45 CFR 1357.15 and 1357.16.) The
title IV–E agency also must make
available for public review and inspection the title IV–E Plan.

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[48 FR 23114, May 23, 1983, as amended at 61
FR 58654, Nov. 18, 1996; 77 FR 926, Jan. 6, 2012]

§ 1355.25 Principles of child and family
services.
The following principles, most often
identified by practitioners and others
as helping to assure effective services
for children, youth, and families,
should guide the States and Indian
Tribes in developing, operating, and
improving the continuum of child and
family services.
(a) The safety and well-being of children and of all family members is paramount. When safety can be assured,
strengthening and preserving families
is seen as the best way to promote the
healthy development of children. One
important way to keep children safe is
to stop violence in the family including
violence against their mothers.
(b) Services are focused on the family
as a whole; service providers work with
families as partners in identifying and
meeting individual and family needs;
family strengths are identified, enhanced, respected, and mobilized to
help families solve the problems which
compromise their functioning and wellbeing.
(c) Services promote the healthy development of children and youth, promote permanency for all children and
help prepare youth emancipating from
the foster care system for self-sufficiency and independent living.
(d) Services may focus on prevention,
protection, or other short or long-term
interventions to meet the needs of the
family and the best interests and need
of the individual(s) who may be placed
in out-of-home care.
(e) Services are timely, flexible, coordinated, and accessible to families
and individuals, principally delivered
in the home or the community, and are
delivered in a manner that is respectful

§ 1355.30

of and builds on the strengths of the
community and cultural groups.
(f) Services are organized as a continuum, designed to achieve measurable outcomes, and are linked to a wide
variety of supports and services which
can be crucial to meeting families’ and
children’s needs, for example, housing,
substance abuse treatment, mental
health, health, education, job training,
child care, and informal support networks.
(g) Most child and family services are
community-based, involve community
organizations, parents and residents in
their design and delivery, and are accountable to the community and the
client’s needs.
(h) Services are intensive enough and
of sufficient duration to keep children
safe and meet family needs. The actual
level of intensity and length of time
needed to ensure safety and assist the
family may vary greatly between preventive (family support) and crisis
intervention services (family preservation), based on the changing needs of
children and families at various times
in their lives. A family or an individual
does not need to be in crisis in order to
receive services.
[61 FR 58654, Nov. 18, 1996]

§ 1355.30

Other applicable regulations.

Except as specified, the following
regulations are applicable to State and
Tribal programs funded under titles
IV–B and IV–E of the Act.
(a) 45 CFR Part 16—Procedures of the
Departmental Grant Appeals Board.
(b) 45 CFR Part 30—Claims Collection.
(c) 2 CFR part 376—Nonprocurement
Debarment and Suspension.
(d) 2 CFR part 382—Requirements for
Drug-Free Workplace (Financial Assistance).
(e) 45 CFR Part 80—Nondiscrimination Under Programs Receiving Federal Assistance Through the Department of Health and Human Services Effectuation of Title VI of the Civil
Rights Act of 1964.
(f) 45 CFR Part 81—Practice and Procedure for Hearings Under Part 80 of
This Title.

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§ 1355.31

45 CFR Ch. XIII (10–1–12 Edition)

(g) 45 CFR Part 84—Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving Federal
Financial Assistance.
(h) 45 CFR Part 91—Nondiscrimination on the Basis of Age in HHS Programs or Activities Receiving Federal
Financial Assistance.
(i) 45 CFR part 92—Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and
Local Governments. Part 92 of this
title is applicable to title IV–B programs and the John H. Chafee Foster
Care Independence Program under Section 477 of the Act that are operated by
States and/or Tribes. Part 92 of this
title is applicable to title IV–E foster
care and adoption assistance programs
operated by a State title IV–E agency,
except that section 92.24 Matching or
cost sharing and section 92.41 Financial
reporting do not apply. Part 92 of this
title is applicable to title IV–E foster
care and adoption assistance programs
operated by a Tribal title IV–E agency
pursuant to section 479B, except that
section 92.41 and the sections specified
in § 1356.68 do not apply to a Tribal title
IV–E agency.
(j) 45 CFR Part 93—New Restrictions
on Lobbying.
(k) 45 CFR part 95—General Administration—Grant Programs (Public Assistance and Medical Assistance). Part
95 of this title is applicable to State
and Indian Tribe operated title IV–B
and title IV–E programs, except:
(1) Notwithstanding 45 CFR 95.1(a),
subpart A, Time Limits for States to
File Claims, does not apply to State
and Indian Tribe-operated title IV–B
(subparts 1 and 2) program and the
John H. Chafee Foster Care Independence Program; and
(2) 45 CFR part 95 Subpart E, Cost Allocation Plans, is not applicable to Indian Tribe-operated title IV–E foster
care and adoption assistance pursuant
to section 479B of the Act (ACYF–CB–
PI–10–13).
(l) 45 CFR Part 97—Consolidation of
Grants to the Insular Areas. (Applicable only to the title IV-B programs).
(m) 45 CFR part 100—Intergovernmental Review of Department of
Health and Human Services Programs
and Activities. Only one section is applicable: 45 CFR 100.12, How may a

State simplify, consolidate, or substitute federally required State plans?
This section is applicable to a State
title IV–E agency only.
(n) 45 CFR part 201—Grants to States
for Public Assistance Programs. Only
the following sections are applicable:
(1) § 201.5—Grants. Applicable to title
IV–E foster care and adoption assistance only.
(2) § 201.6—Withholding of payment;
reduction of Federal financial participation in the costs of social services
and training. Applicable only to an
unapprovable change in an approved
plan, or the failure of the agency to
change its approved plan to conform to
a new Federal requirement for approval
of plans.
(3) § 201.15—Deferral of claims for
Federal financial participation. Applicable only to title IV–E foster care and
adoption assistance.
(4) § 201.66—Repayment of Federal
funds by installments. Applicable only
to title IV–E foster care and adoption
assistance.
(o) 45 CFR 204.1—Submittal of State
Plans for Governor’s Review. Applicable to State title IV–E agencies only.
(p) 45 CFR Part 205—General Administration—Public Assistance Programs.
Only the following sections are applicable:
(1) § 205.5—Plan amendments.
(2) § 205.10—Hearings.
(3) § 205.50—Safeguarding information
for the financial assistance programs.
(4) § 205.100—Single State agency.
[61 FR 58654, Nov. 18, 1996, as amended at 66
FR 58675, Nov. 23, 2001; 77 FR 926, Jan. 6, 2012]

§ 1355.31 Elements of the child and
family services review system.
Scope. Sections 1355.32 through 1355.37
of this part apply to reviews of child
and family services programs under
subparts 1 and 2 of title IV–B of the
Act, and reviews of foster care and
adoption assistance programs under
title IV–E of the Act.
[77 FR 926, Jan. 6, 2012]

§ 1355.32 Timetable for the reviews.
(a) Initial reviews. Each State must
complete an initial full review as described in § 1355.33 of this part during
the four-year period after the final rule

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Office of Human Development Services, HHS
becomes effective. Each Tribal title
IV–E agency must complete an initial
full review as described in § 1355.33 of
this part, during the four-year period
after the ACF determines that the
Tribe has approved title IV–B, subpart
1 and 2 and title IV–E plans and has
sufficient cases for ACF to apply the
procedures in § 1355.33(c).
(b) Reviews following the initial review.
(1) A title IV–E agency found to be operating in substantial conformity during an initial or subsequent review, as
defined in § 1355.34 of this part, must:
(i) Complete a full review every five
years; and
(ii) Submit a completed statewide assessment, or in the case of a Tribal
title IV–E agency, a completed Tribal
assessment of the service area, to ACF
three years after the on-site review.
The assessment will be reviewed jointly by the title IV–E agency and ACF to
determine the State’s or Indian Tribe’s
continuing
substantial
conformity
with the plan requirements subject to
review. No formal approval of this interim assessment by ACF is required.
(2) A program found not to be operating in substantial conformity during
an initial or subsequent review will:
(i) Be required to develop and implement a program improvement plan, as
defined in § 1355.35 of this part; and
(ii) Begin a full review two years
after approval of the program improvement plan.
(c) Reinstatement of reviews based on
information that a title IV–E agency is
not in substantial conformity. (1) ACF
may require a full or a partial review
at any time, based on any information,
regardless of the source, that indicates
the title IV–E agency may no longer be
operating in substantial conformity.
(2) Prior to reinstating a full or partial review, ACF will conduct an inquiry and require the title IV–E agency
to submit additional data whenever
ACF receives information that the title
IV–E agency may not be in substantial
conformity.
(3) If the additional information and
inquiry indicates to ACF’s satisfaction
that the title IV–E agency is operating
in substantial conformity, ACF will
not proceed with any further review of
the issue addressed by the inquiry.
This inquiry will not substitute for the

§ 1355.32

full reviews conducted by ACF under
§ 1355.32(b).
(4) ACF may proceed with a full or
partial review if the title IV–E agency
does not provide the additional information as requested, or the additional
information confirms that the title IV–
E agency may not be operating in substantial conformity.
(d) Partial reviews based on noncompliance with plan requirements that are outside the scope of a child and family services review. When ACF becomes aware
of a title IV-B or title IV-E compliance
issue that is outside the scope of the
child and family services review process, we will:
(1) Conduct an inquiry and require
the title IV–E agency to submit additional data.
(2) If the additional information and
inquiry indicates to ACF’s satisfaction
that the title IV–E agency is in compliance, we will not proceed with any further review of the issue addressed by
the inquiry.
(3) ACF will institute a partial review, appropriate to the nature of the
concern, if the title IV–E agency does
not provide the additional information
as requested, or the additional information confirms that the title IV–E
agency may not be in compliance.
(4) If the partial review determines
that the title IV–E agency is not in
compliance with the applicable plan requirement, the title IV–E agency must
enter into a program improvement
plan designed to bring the title IV–E
agency into compliance, if the provisions for such a plan are applicable.
The terms, action steps and timeframes of the program improvement
plan will be developed on a case-bycase basis by ACF and the title IV–E
agency. The program improvement
plan must take into consideration the
extent of noncompliance and the impact of the noncompliance on the safety, permanency or well-being of children and families served through the
title IV–E agency’s title IV–B or IV–E
allocation. If the title IV–E agency remains out of compliance, the title IV–
E agency will be subject to a penalty
related to the extent of the noncompliance.
[65 FR 4076, Jan. 25, 2000, as amended at 66
FR 58675, Nov. 23, 2001; 77 FR 926, Jan. 6, 2012]

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§ 1355.33

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§ 1355.33

45 CFR Ch. XIII (10–1–12 Edition)
Procedures for the review.

(a) The full child and family services
reviews will:
(1) Consist of a two-phase process
that includes a statewide assessment
and an on-site review; and
(2) Be conducted by a team of Federal, and State or Tribal reviewers that
includes:
(i) Staff of the child and family services agency, including the offices that
represent the service areas that are the
focus of any particular review;
(ii) Representatives selected by the
title IV–E agency, in collaboration
with the ACF Regional Office, from
those with whom the title IV–E agency
was required to consult in developing
its CFSP, as described and required in
45 CFR 1357.15(l);
(iii) Federal staff of HHS; and
(iv) Other individuals, as deemed appropriate and agreed upon by the title
IV–E agency and ACF.
(b) Statewide or Tribal Assessment. The
first phase of the full review will be a
statewide assessment, or for a Tribal
title IV–E agency a service area assessment, conducted by the title IV–E
agency’s internal and external members of the review team. The assessment must:
(1) Address each systemic factor
under review including the statewide/
Tribal information system; case review
system; quality assurance system; staff
training; service array; agency responsiveness to the community; and foster
and adoptive parent licensing, recruitment and retention;
(2) Assess the outcome areas of safety, permanence, and well-being of children and families served by the title
IV–E agency using data from AFCARS
and NCANDS. For the initial review,
ACF may approve another data source
to substitute for AFCARS, and in all
reviews, ACF may approve another
data source to substitute for NCANDS.
The title IV–E agency must also analyze and explain its performance in
meeting the national standards for the
statewide/Tribal service area data indicators;
(3) Assess the characteristics of the
title IV–E agency that have the most
significant impact on the agency’s capacity to deliver services to children

and families that will lead to improved
outcomes;
(4) Assess the strengths and areas of
the title IV–E agency’s child and family services programs that require further examination through an on-site
review;
(5) Include a listing of all the persons
external to the title IV–E agency who
participated in the preparation of the
assessment pursuant to § 1355.33(a)(2)(ii)
and (iv); and
(6) Be completed and submitted to
ACF within 4 months of the date that
ACF transmits the information for the
assessment to the title IV–E agency.
(c) On-site review. The second phase of
the full review will be an on-site review.
(1) The on-site review will cover the
title IV–E agency’s programs under titles IV–B and IV–E of the Act, including in-home services and foster care. It
will be jointly planned by the title IV–
E agency and ACF, and guided by information in the completed assessment
that identifies areas in need of improvement or further review.
(2) The on-site review may be concentrated in several specific political
subdivisions or jurisdictions of the
title IV–E agency, as agreed upon by
the ACF and the title IV–E agency;
however, for a State title IV–E agency,
a State’s largest metropolitan subdivision must be one of the locations selected.
(3) ACF has final approval of the selection of specific areas of the title IV–
E agency’s child and family services
continuum described in paragraph
(c)(1) of this section and selection of
the political subdivisions or jurisdiction referenced in paragraph (c)(2) of
this section.
(4) Sources of information collected
during the on-site review to determine
substantial conformity must include,
but are not limited to:
(i) Case records on children and families served by the agency;
(ii) Interviews with children and families whose case records have been reviewed and who are, or have been, recipients of services of the agency;
(iii) Interviews with caseworkers, foster parents, and service providers for
the cases selected for the on-site review; and

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Office of Human Development Services, HHS
(iv) Interviews with key stakeholders, both internal and external to
the agency, which, at a minimum,
must include those individuals who
participated in the development of the
State’s or Tribal title IV–E agency’s
CFSP required at 45 CFR 1357.15(1),
courts, administrative review bodies,
children’s guardians ad litem and other
individuals or bodies assigned responsibility for representing the best interests of the child.
(5) The sample will range from 30–50
cases. Foster care cases must be drawn
randomly from AFCARS, or, for the
initial review, from another source approved by ACF and include children
who entered foster care during the year
under review. In-home cases must be
drawn randomly from NCANDS or from
another source approved by ACF. To
ensure that all program areas are adequately represented, the sample size
may be increased.
(6) The sample of 30–50 cases reviewed
on-site will be selected from a randomly drawn oversample of no more
than 150 foster care and 150 in-home
services cases. The oversample must be
statistically significant at a 90 percent
compliance rate (95 percent in subsequent reviews), with a tolerable sampling error of 5 percent and a confidence coefficient of 95 percent. The
additional cases in the oversample not
selected for the on-site review will
form the sample of cases to be reviewed, if needed, in order to resolve
discrepancies between the statewide/
Tribal assessment and the on-site review in accordance with paragraph
(d)(2) of this section.
(d) Resolution of discrepancies between
the assessment and the findings of the onsite portion of the review. Discrepancies
between the statewide or Tribal assessment and the findings of the on-site
portion of the review will be resolved
by either of the following means, at the
title IV–E agency’s option:
(1) The submission of additional information by the title IV–E agency; or
(2) ACF and the title IV–E agency
will review additional cases using only
those indicators in which the discrepancy occurred. ACF and the title IV–E
agency will determine jointly the number of additional cases to be reviewed,
not to exceed 150 foster care cases or

§ 1355.34

150 in-home services cases to be selected as specified in paragraph (c)(6) of
this section.
(e) Partial review. A partial child and
family services review, when required,
will be planned and conducted jointly
by ACF and the title IV–E agency
based on the nature of the concern. A
partial review does not substitute for
the full reviews as required under
§ 1355.32(b).
(f) Notification. Within 30 calendar
days following either a partial child
and family services review, full child
and family services review, or the resolution of a discrepancy between the assessment and the findings of the onsite portion of the review, ACF will notify the title IV–E agency in writing of
whether the title IV–E agency is, or is
not, operating in substantial conformity.
[65 FR 4077, Jan. 25, 2000, as amended at 66
FR 58675, Nov. 23, 2001; 77 FR 927, Jan. 6, 2012]

§ 1355.34 Criteria for determining substantial conformity.
(a) Criteria to be satisfied. ACF will determine a title IV–E agency’s substantial conformity with title IV–B and
title IV–E plan requirements based on
the following:
(1) Its ability to meet national standards, set by the Secretary, for the
statewide/Tribal service area data indicators associated with specific outcomes for children and families;
(2) Its ability to meet criteria related
to outcomes for children and families;
and
(3) Its ability to meet criteria related
to the title IV–E agency’s capacity to
deliver services leading to improved
outcomes.
(b) Criteria related to outcomes. (1) A
title IV–E agency’s substantial conformity will be determined by its ability to substantially achieve the following child and family service outcomes:
(i) In the area of child safety:
(A) Children are, first and foremost,
protected from abuse and neglect; and,
(B) Children are safely maintained in
their own homes whenever possible and
appropriate;
(ii) In the area of permanency for children:

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§ 1355.34

45 CFR Ch. XIII (10–1–12 Edition)

(A) Children have permanency and
stability in their living situations; and
(B) The continuity of family relationships and connections is preserved
for children; and
(iii) In the area of child and family
well-being:
(A) Families have enhanced capacity
to provide for their children’s needs;
(B) Children receive appropriate services to meet their educational needs;
and
(C) Children receive adequate services to meet their physical and mental
health needs.
(2) A title IV–E agency’s level of
achievement with regard to each outcome reflects the extent to which a
title IV–E agency has:
(i) Met the national standard(s) for
the statewide/Tribal service area data
indicator(s) associated with that outcome, if applicable; and,
(ii) Implemented the following CFSP
requirements or assurances:
(A) The requirements in 45 CFR
1357.15(p) regarding services designed to
assure the safety and protection of
children and the preservation and support of families;
(B) The requirements in 45 CFR
1357.15(q) regarding the permanency
provisions for children and families in
sections 422 and 471 of the Act;
(C) The requirements in section
422(b)(7) of the Act regarding recruitment of potential foster and adoptive
families;
(D) The assurances as required by
section 422(b)(8)(B) of the Act regarding
policies and procedures for abandoned
children;
(E) The requirements in section
422(b)(9) of the Act regarding the
State’s compliance with the Indian
Child Welfare Act;
(F) The requirements in section
422(b)(10) of the Act regarding a title
IV–E agency’s plan for effective use of
cross-jurisdictional resources to facilitate timely adoptive or permanent
placements; and,
(G) The requirements in section
471(a)(15) of the Act regarding reasonable efforts to prevent removals of
children from their homes, to make it
possible for children in foster care to
safely return to their homes, or, when
the child is not able to return home, to

place the child in accordance with the
permanency plan and complete the
steps necessary to finalize the permanent placement.
(3) A title IV–E agency will be determined to be in substantial conformity
if its performance on:
(i) Each statewide/Tribal service area
data indicator developed pursuant to
paragraph (b)(4) of this section meets
the national standard described in
paragraph (b)(5) of this section; and,
(ii) Each outcome listed in paragraph
(b)(1) of this section is rated as ‘‘substantially achieved’’ in 95 percent of
the cases examined during the on-site
review (90 percent of the cases for an
initial review). Information from various sources (case records, interviews)
will be examined for each outcome and
a determination made as to the degree
to which each outcome has been
achieved for each case reviewed.
(4)
The
Secretary
may,
using
AFCARS and NCANDS, develop statewide/Tribal service area data indicators for each of the specific outcomes
described in paragraph (b)(1) of this
section for use in determining substantial conformity. The Secretary may
add, amend, or suspend any such statewide/Tribal service area data indicator(s) when appropriate. To the extent practical and feasible, the statewide/Tribal service area data indicators will be consistent with those developed in accordance with section 203
of the Adoption and Safe Families Act
of 1997 (Pub. L. 105–89).
(5) The initial national standards for
the statewide data indicators described
in paragraph (b)(4) of this section will
be based on the 75th percentile of all
State performance for that indicator,
as reported in AFCARS or NCANDS.
The Secretary may adjust these national standards if appropriate. The
initial national standard will be set
using the following data sources:
(i) The 1997 and 1998 submissions to
NCANDS (or the most recent and complete 2 years available), for those statewide data indicators associated with
the safety outcomes; and,

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Office of Human Development Services, HHS
(ii) The 1998b, 1999c, and 2000a submissions to AFCARS (or the most recent and complete report periods available), for those statewide data indicators associated with the permanency
outcomes.
(c) Criteria related to title IV–E agency
capacity to deliver services leading to improved outcomes for children and families.
In addition to the criteria related to
outcomes contained in paragraph (b) of
this section, the title IV–E agency also
must satisfy criteria related to the delivery of services. Based on information from the assessment and onsite review, the title IV–E agency must meet
the following criteria for each systemic
factor in paragraphs (c)(2) through
(c)(7) of this section to be considered in
substantial conformity: All of the plan
requirements associated with the systemic factor must be in place, and no
more than one of the plan requirements fails to function as described in
paragraphs (c)(2) through (c)(7) of this
section. The systemic factor in paragraph (c)(1) of this section is rated on
the basis of only one plan requirement.
To be considered in substantial conformity, the plan requirement associated with statewide/Tribal information
system capacity must be both in place
and functioning as described in the requirement. ACF will use a rating scale
to make the determinations of substantial conformity. The systemic factors
under review are:
(1) Statewide/Tribal information system:
The State/Tribal title IV–E agency is
operating a statewide/Tribal information system that, at a minimum, can
readily identify the status, demographic characteristics, location, and
goals for the placement of every child
who is (or within the immediately preceding 12 months, has been) in foster
care (section (422)(b)(8)(A)(i) of the
Act);
(2) Case review system: The title IV–E
agency has procedures in place that:
(i) Provide, for each child, a written
case plan to be developed jointly with
the child’s parent(s) that includes provisions: for placing the child in the
least restrictive, most family-like
placement appropriate to his/her needs,
and in close proximity to the parents’
home where such placement is in the
child’s best interests; for visits with a

§ 1355.34

child placed out of State/Tribal service
area at least every 12 months by a
caseworker of the agency or of the
agency in the State/Tribal service area
where the child is placed; and for documentation of the steps taken to make
and finalize an adoptive or other permanent placement when the child cannot
return
home
(sections
422(b)(8)(A)(ii), 471(a)(16) and 475(5)(A)
of the Act);
(ii) Provide for periodic review of the
status of each child no less frequently
than once every six months by either a
court or by administrative review (sections 422(b)(8)(A)(ii), 471(a)(16) and
475(5)(B) of the Act);
(iii) Assure that each child in foster
care under the supervision of the title
IV–E agency has a permanency hearing
in a family or juvenile court or another
court of competent jurisdiction (including a Tribal court), or by an administrative body appointed or approved by the court, which is not a part
of or under the supervision or direction
of the title IV–E agency, no later than
12 months from the date the child entered foster care (and not less frequently than every 12 months thereafter during the continuation of foster
care) (sections 422(b)(8)(A)(ii), 471(a)(16)
and 475(5)(C) of the Act);
(iv) Provide a process for termination
of parental rights proceedings in accordance with sections 422(b)(8)(A)(ii),
475(5)(E) and (F) of the Act; and,
(v)
Provide
foster
parents,
preadoptive parents, and relative caregivers of children in foster care with
notice of and a right to be heard in permanency hearings and six-month periodic reviews held with respect to the
child (sections 422(b)(8)(A)(ii), 475(5)(G)
of the Act, and 45 CFR 1356.21(o)).
(3) Quality assurance system: The title
IV–E agency has developed and implemented standards to ensure that children in foster care placements are provided quality services that protect the
safety and health of the children (section 471(a)(22)) and is operating an
identifiable quality assurance system
(45 CFR 1357.15(u)) as described in the
CFSP that:
(i) Is in place in the jurisdictions
within the State/Tribal service area
where services included in the CFSP
are provided;

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§ 1355.34

45 CFR Ch. XIII (10–1–12 Edition)

(ii) Is able to evaluate the adequacy
and quality of services provided under
the CFSP;
(iii) Is able to identify the strengths
and needs of the service delivery system it evaluates;
(iv) Provides reports to agency administrators on the quality of services
evaluated and needs for improvement;
and
(v) Evaluates measures implemented
to address identified problems.
(4) Staff training: The title IV–E agency is operating a staff development and
training program (45 CFR 1357.15(t))
that:
(i) Supports the goals and objectives
in the title IV–E agency’s CFSP;
(ii) Addresses services provided under
both subparts of title IV-B and the
training plan under title IV-E of the
Act;
(iii) Provides training for all staff
who provide family preservation and
support services, child protective services, foster care services, adoption
services and independent living services soon after they are employed and
that includes the basic skills and
knowledge required for their positions;
(iv) Provides ongoing training for
staff that addresses the skills and
knowledge base needed to carry out
their duties with regard to the services
included in the CFSP; and,
(v) Provides training for current or
prospective foster parents, adoptive
parents, and the staff of State/Triballicensed or State/Tribal-approved child
care institutions providing care to foster and adopted children receiving assistance under title IV–E that addresses the skills and knowledge base needed to carry out their duties with regard
to caring for foster and adopted children.
(5) Service array: Information from
the assessment and on-site review determines that the title IV–E agency
has in place an array of services (45
CFR
1357.15(n)
and
section
422(b)(8)(A)(iii) and (iv) of the Act) that
includes, at a minimum:
(i) Services that assess the strengths
and needs of children and families assisted by the agency and are used to
determine other service needs;
(ii) Services that address the needs of
the family, as well as the individual

child, in order to create a safe home
environment;
(iii) Services designed to enable children at risk of foster care placement to
remain with their families when their
safety and well-being can be reasonably
assured;
(iv) Services designed to help children achieve permanency by returning
to families from which they have been
removed, where appropriate, be placed
for adoption or with a legal guardian or
in some other planned, permanent living arrangement, and through postlegal adoption services;
(v) Services that are accessible to
families and children in all political
subdivisions and/or the entire service
area covered in the CFSP; and,
(vi) Services that can be individualized to meet the unique needs of children and families served by the agency.
(6) Agency responsiveness to the community:
(i) The title IV–E agency, in implementing the provisions of the CFSP,
engages in ongoing consultation with a
broad array of individuals and organizations representing the State/Tribal
and county/local agencies responsible
for implementing the CFSP and other
major stakeholders in the services delivery system including, at a minimum, Tribal representatives, consumers, service providers, foster care
providers, the juvenile court, and other
public and private child and family
serving agencies (45 CFR 1357.15(l)(3));
(ii) The agency develops, in consultation with these or similar representatives, annual reports of progress and
services delivered pursuant to the
CFSP (45 CFR 1357.16(a));
(iii) There is evidence that the agency’s goals and objectives included in
the CFSP reflect consideration of the
major concerns of stakeholders consulted in developing the plan and on an
ongoing basis (45 CFR 1357.15(m)); and
(iv) There is evidence that the services under the plan are coordinated
with services or benefits under other
Federal or federally-assisted programs
serving the same populations to
achieve the goals and objectives in the
plan (45 CFR 1357.15(m)).
(7) Foster and adoptive parent licensing, recruitment and retention:

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Office of Human Development Services, HHS
(i) The State or Tribe has established
and maintains standards for foster
family homes and child care institutions which are reasonably in accord
with recommended standards of national organizations concerned with
standards for such institutions or
homes (section 471(a)(10) of the Act);
(ii) The standards so established are
applied by the State or Tribe to every
licensed or approved foster family
home or child care institution receiving funds under title IV–E or IV–B of
the Act (section 471(a)(10) of the Act);
(iii) The title IV–E agency complies
with the safety requirements for foster
care and adoptive placements in accordance
with
sections
471(a)(16),
471(a)(20) and 475(1) of the Act and 45
CFR 1356.30;
(iv) The title IV–E agency has in
place an identifiable process for assuring the diligent recruitment of potential foster and adoptive families that
reflect the ethnic and racial diversity
of children in the State or Tribe for
whom foster and adoptive homes are
needed (section 422(b)(7) of the Act);
and,
(v) The title IV–E agency has developed and implemented plans for the effective use of cross-jurisdictional resources to facilitate timely adoptive or
permanent placements for waiting children (section 422(b)(10) of the Act).
(d) Availability of review instruments.
ACF will make available to the title
IV–E agencies copies of the review instruments, which will contain the specific standards to be used to determine
substantial conformity, on an ongoing
basis, whenever significant revisions to
the instruments are made.

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[65 FR 4078, Jan. 25, 2000, as amended at 66
FR 58675, Nov. 23, 2001; 77 FR 928, Jan. 6, 2012]

§ 1355.35 Program improvement plans.
(a) Mandatory program improvement
plan. (1) Title IV–E agencies found not
to be operating in substantial conformity shall develop a program improvement plan. The program improvement plan must:
(i) Be developed jointly by title IV–E
agency and Federal staff in consultation with the review team;
(ii) Identify the areas in which the
title IV–E agency’s program is not in
substantial conformity;

§ 1355.35

(iii)Set forth the goals, the action
steps required to correct each identified weakness or deficiency, and dates
by which each action step is to be completed in order to improve the specific
areas;
(iv) Set forth the amount of progress
the statewide/Tribal data will make toward meeting the national standards;
(v) Establish benchmarks that will be
used to measure the title IV–E agency’s progress in implementing the program improvement plan and describe
the methods that will be used to evaluate progress;
(vi) Identify how the action steps in
the plan build on and make progress
over prior program improvement plans;
(vii) Identify the technical assistance
needs and sources of technical assistance, both Federal and non-Federal,
which will be used to make the necessary improvements identified in the
program improvement plan.
(2) In the event that ACF and the
title IV–E agency cannot reach consensus regarding the content of a program improvement plan or the degree
of program or data improvement to be
achieved, ACF retains the final authority to assign the contents of the plan
and/or the degree of improvement required for successful completion of the
plan. Under such circumstances, ACF
will render a written rationale for assigning such content or degree of improvement.
(b) Voluntary program improvement
plan. Title IV–E agencies found to be
operating in substantial conformity
may voluntarily develop and implement a program improvement plan in
collaboration with the ACF Regional
Office,
under
the
following
circumstances:
(1) The title IV–E agency and Regional Office agree that there are areas
of the title IV–E agency’s child and
family services programs in need of improvement which can be addressed
through the development and implementation of a voluntary program improvement plan;
(2) ACF approval of the voluntary
program improvement plan will not be
required; and
(3) No penalty will be assessed for the
title IV–E agency’s failure to achieve

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§ 1355.35

45 CFR Ch. XIII (10–1–12 Edition)

the goals described in the voluntary
program improvement plan.
(c) Approval of program improvement
plans. (1) A title IV–E agency determined not to be in substantial conformity must submit a program improvement plan to ACF for approval
within 90 calendar days from the date
the title IV–E agency receives the written notification from ACF that it is
not operating in substantial conformity.
(2) Any program improvement plan
will be approved by ACF if it meets the
provisions of paragraph (a) of this section.
(3) If the program improvement plan
does not meet the provisions of paragraph (a) of this section, the title IV–E
agency will have 30 calendar days from
the date it receives notice from ACF
that the plan has not been approved to
revise and resubmit the plan for approval.
(4) If the title IV–E agency does not
submit a revised program improvement
plan according to the provisions of
paragraph (c)(3) of this section or if the
plan does not meet the provisions of
paragraph (a) of this section, withholding of funds pursuant to the provisions of § 1355.36 of this part will begin.
(d) Duration of program improvement
plans. (1) ACF retains the authority to
establish time frames for the program
improvement plan consistent with the
seriousness and complexity of the remedies required for any areas determined
not in substantial conformity, not to
exceed two years.
(2) Particularly egregious areas of
nonconformity impacting child safety
must receive priority in both the content and time frames of the program
improvement plans and must be addressed in less than two years.
(3) The Secretary may approve extensions of deadlines in a program improvement plan not to exceed one year.
The circumstances under which requests for extensions will be approved
are expected to be rare. The title IV–E
agency must provide compelling documentation of the need for such an extension. Requests for extensions must
be received by ACF at least 60 days
prior to the affected completion date.
(4) Title IV–E agencies must provide
quarterly status reports (unless ACF

and the title IV–E agency agree to less
frequent reports) to ACF. Such reports
must inform ACF of progress in implementing the measures of the plan.
(e) Evaluating program improvement
plans. Program improvement plans will
be evaluated jointly by the title IV–E
agency and ACF, in collaboration with
other members of the review team, as
described in the title IV–E agency’s
program improvement plan and in accordance with the following criteria:
(1) The methods and information
used to measure progress must be sufficient to determine when and whether
the title IV–E agency is operating in
substantial conformity or has reached
the negotiated standard with respect to
statewide/Tribal service area data indicators that failed to meet the national
standard for that indicator;
(2) The frequency of evaluating
progress will be determined jointly by
the title IV–E agency and Federal team
members, but no less than annually.
Evaluation of progress will be performed in conjunction with the annual
updates of the title IV–E agency’s
CFSP, as described in paragraph (f) of
this section;
(3) Action steps may be jointly determined by the title IV–E agency and
ACF to be achieved prior to projected
completion dates, and will not require
any further evaluation at a later date;
and
(4) The title IV–E agency and ACF
may jointly renegotiate the terms and
conditions of the program improvement plan as needed, provided that:
(i) The renegotiated plan is designed
to correct the areas of the title IV–E
agency’s program determined not to be
in
substantial
conformity
and/or
achieve a standard for the statewide/
Tribal service area data indicators that
is acceptable to ACF;
(ii) The amount of time needed to implement the provisions of the plan does
not extend beyond three years from the
date the original program improvement plan was approved;
(iii) The terms of the renegotiated
plan are approved by ACF; and
(iv) The Secretary approves any extensions beyond the two-year limit.
(f) Integration of program improvement
plans with CFSP planning. The elements
of the program improvement plan must

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Office of Human Development Services, HHS
be incorporated into the goals and objectives of the title IV–E agency’s
CFSP. Progress in implementing the
program improvement plan must be included in the annual reviews and
progress reports related to the CFSP
required in 45 CFR 1357.16.
(This requirement has been approved
by the Office of Management and Budget under OMB Control Number 0970–
0214. In accordance with the Paperwork
Reduction Act of 1995, an agency may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless it displays a currently valid OMB control number.)

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[65 FR 4080, Jan. 25, 2000, as amended at 66
FR 58675, Nov. 23, 2001; 77 FR 929, Jan. 6, 2012]

§ 1355.36 Withholding Federal funds
due to failure to achieve substantial
conformity or failure to successfully
complete a program improvement
plan.
(a) For the purposes of this section:
(1) The term ‘‘title IV–B funds’’ refers
to the title IV–E agency’s combined allocation of title IV–B subpart 1 and
subpart 2 funds; and
(2) The term ‘‘title IV–E funds’’ refers
to the title IV–E agency’s reimbursement for administrative costs for the
foster care program under title IV–E.
(b) Determination of the amount of Federal funds to be withheld. ACF will determine the amount of title IV–B and
IV–E funds to be withheld due to a
finding that the title IV–E agency is
not operating in substantial conformity, as follows:
(1) A title IV–E agency will have the
opportunity to develop and complete a
program improvement plan prior to
any withholding of funds.
(2) Title IV–B and IV–E funds will not
be withheld from a title IV–E agency if
the determination of nonconformity
was caused by the title IV–E agency’s
correct use of formal written statements of Federal law or policy provided the title IV–E agency by DHHS.
(3) A portion of the title IV–E agency’s title IV–B and IV–E funds will be
withheld by ACF for the year under review and for each succeeding year until
the title IV–E agency either successfully completes a program improvement plan or is found to be operating
in substantial conformity.

§ 1355.36

(4) The amount of title IV–B and title
IV–E funds subject to withholding due
to a determination that a title IV–E
agency is not operating in substantial
conformity is based on a pool of funds
defined as follows:
(i) The title IV–E agency’s allotment
of title IV–B funds for each of the years
to which the withholding applies; and
(ii) An amount equivalent to 10 percent of the title IV–E agency’s Federal
claims for title IV–E foster care administrative costs for each of the years to
which withholding applies;
(5) The amount of funds to be withheld from the pool in paragraph (b)(4)
of this section will be computed as follows:
(i) Except as provided for in paragraphs (b)(7) and (b)(8) of this section,
an amount equivalent to one percent of
the funds described in paragraph (b)(4)
of this section for each of the years to
which withholding applies will be withheld for each of the seven outcomes
listed in § 1355.34(b)(1) of this part that
is determined not to be in substantial
conformity; and
(ii) Except as provided for in paragraphs (b)(7) and (b)(8) of this section,
an amount equivalent to one percent of
the funds described in paragraph (b)(4)
of this section for each of the years to
which withholding applies will be withheld for each of the seven systemic factors listed in § 1355.34(c) of this part
that is determined not to be in substantial conformity.
(6) Except as provided for in paragraphs (b)(7), (b)(8), and (e)(4) of this
section, in the event the title IV–E
agency is determined to be in nonconformity on each of the seven outcomes
and each of the seven systemic factors
subject to review, the maximum
amount of title IV–B and title IV–E
funds to be withheld due to the title
IV–E agency’s failure to comply is 14
percent per year of the funds described
in paragraph (b)(4) of this section for
each year.
(7) Title IV–E agencies determined
not to be in substantial conformity
that fail to correct the areas of nonconformity through the successful
completion of a program improvement
plan, and are determined to be in nonconformity on the second full review
following the first full review in which

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§ 1355.36

45 CFR Ch. XIII (10–1–12 Edition)

a determination of nonconformity was
made will be subject to increased withholding as follows:
(i) The amount of funds described in
paragraph (b)(5) of this section will increase to two percent for each of the
seven outcomes and each of the seven
systemic factors that continues in nonconformity since the immediately preceding child and family services review;
(ii) The increased withholding of
funds for areas of continuous nonconformity is subject to the provisions of
paragraphs (c), (d), and (e) of this section;
(iii) The maximum amount of title
IV–B and title IV–E funds to be withheld due to the title IV–E agency’s failure to comply on the second full review
following the first full review in which
the determination of nonconformity
was made is 28 percent of the funds described in paragraph (b)(4) of this section for each year to which the withholding of funds applies.
(8) Title IV–E agencies determined
not to be in substantial conformity
that fail to correct the areas of nonconformity through the successful
completion of a program improvement
plan, and are determined to be in nonconformity on the third and any subsequent full reviews following the first
full review in which a determination of
nonconformity was made will be subject to increased withholding as follows:
(i) The amount of funds described in
paragraph (b)(5) of this section will increase to three percent for each of the
seven outcomes and each of the seven
systemic factors that continues in nonconformity since the immediately preceding child and family services review;
(ii) The increased withholding of
funds for areas of continuous nonconformity is subject to the provisions of
paragraphs (c), (d), and (e) of this section;
(iii) The maximum amount of title
IV–B and title IV–E funds to be withheld due to the title IV–E agency’s failure to comply on the third and any
subsequent full reviews following the
first full review in which the determination of nonconformity was made
is 42 percent of the funds described in

paragraph (b)(4) of this section for each
year to which the withholding of funds
applies.
(c) Suspension of withholding. (1) For
title IV–E agencies determined not to
be operating in substantial conformity,
ACF will suspend the withholding of
the title IV–E agencies’ title IV–B and
title IV–E funds during the time that a
program improvement plan is in effect,
provided that:
(i) The program improvement plan
conforms to the provisions of § 1355.35
of this part; and
(ii) The title IV–E agency is actively
implementing the provisions of the
program improvement plan.
(2) Suspension of the withholding of
funds is limited to three years following each review, or the amount of
time approved for implementation of
the program improvement plan, whichever is less.
(d) Terminating the withholding of
funds. For title IV–E agencies determined not to be in substantial conformity, ACF will terminate the withholding of the title IV–E agency’s title
IV–B and title IV–E funds related to
the nonconformity upon determination
by the title IV–E agency and ACF that
the title IV–E agency has achieved substantial conformity or has successfully
completed a program improvement
plan. ACF will rescind the withholding
of the portion of title IV-B and title
IV-E funds related to specific goals or
action steps as of the date at the end of
the quarter in which they were determined to have been achieved.
(e) Withholding of funds. (1) Title IV–
E agencies determined not to be in substantial conformity that fail to successfully complete a program improvement plan will be notified by ACF of
this final determination of nonconformity in writing within 10 business
days after the relevant completion date
specified in the plan, and advised of the
amount of title IV–B and title IV–E
funds which are to be withheld.
(2) Title IV-B and title IV-E funds
will be withheld based on the following:
(i) If the title IV–E agency fails to
submit status reports in accordance
with § 1355.35(d)(4), or if such reports indicate that the title IV–E agency is not
making satisfactory progress toward
achieving goals or actions steps, funds

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Office of Human Development Services, HHS
will be withheld at that time for a period beginning October 1 of the fiscal
year for which the determination of
nonconformity was made and ending on
the specified completion date for the
affected goal or action step.
(ii) Funds related to goals and action
steps that have not been achieved by
the specified completion date will be
withheld at that time for a period beginning October 1 of the fiscal year for
which the determination of nonconformity was made and ending on the
completion date of the affected goal or
action step; and
(iii) The withholding of funds commensurate with the level of nonconformity at the end of the program improvement plan will begin at the latest
completion date specified in the program improvement plan and will continue until a subsequent full review determines the title IV–E agency to be in
substantial conformity or the title IV–
E agency successfully completes a program improvement plan developed as a
result of that subsequent full review.
(3) When the date the title IV–E
agency is determined to be in substantial conformity or to have successfully
completed a program improvement
plan falls within a specific quarter, the
amount of funds to be withheld will be
computed to the end of that quarter.
(4) A title IV–E agency that refuses
to participate in the development or
implementation of a program improvement plan, as required by ACF, will be
subject to the maximum increased
withholding of 42 percent of its title
IV–B and title IV–E funds, as described
in paragraph (b)(8) of this section, for
each year or portion thereof to which
the withholding of funds applies.
(5) The title IV–E agency will be liable for interest on the amount of funds
withheld by the Department, in accordance with the provisions of 45 CFR
30.18.

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[65 FR 4081, Jan. 25, 2000, as amended at 66
FR 58675, Nov. 23, 2001; 77 FR 930, Jan. 6, 2012]

§ 1355.37 Opportunity for public inspection of review reports and materials.
The title IV–E agency must make
available for public review and inspection all statewide or Tribal assessments (§ 1355.33(b)), report of findings

§ 1355.38

(§ 1355.33(e)), and program improvement
plans (§ 1355.35(a)) developed as a result
of a full or partial child and family
services review.
[77 FR 931, Jan. 6, 2012]

§ 1355.38 Enforcement
of
section
471(a)(18) of the Act regarding the
removal of barriers to interethnic
adoption.
(a) Determination that a violation has
occurred in the absence of a court finding.
(1) If ACF becomes aware of a possible
section 471(a)(18) violation, whether in
the course of a child and family services review, the filing of a complaint,
or through some other mechanism, it
will refer such a case to the Department’s Office for Civil Rights (OCR) for
investigation.
(2) Based on the findings of the OCR
investigation, ACF will determine if a
violation of section 471(a)(18) has occurred. A section 471(a)(18) violation
occurs if a title IV–E agency or an entity in the State/Tribe:
(i) Has denied to any person the opportunity to become an adoptive or foster parent on the basis of the race,
color, or national origin of the person,
or of the child, involved;
(ii) Has delayed or denied the placement of a child for adoption or into foster care on the basis of the race, color,
or national origin of the adoptive or
foster parent, or the child involved; or,
(iii) With respect to a title IV–E
agency, maintains any statute, regulation, policy, procedure, or practice that
on its face, is a violation as defined in
paragraphs (a)(2)(i) and (2)(ii) of this
section.
(3) ACF will provide the title IV–E
agency or entity with written notification of its determination.
(4) If there has been no violation,
there will be no further action. If ACF
determines that there has been a violation of section 471(a)(18), it will take
enforcement action as described in this
section.
(5) Compliance with the Indian Child
Welfare Act of 1978 (Pub. L. 95–608) does
not constitute a violation of section
471(a)(18).
(b) Corrective action and penalties for
violations with respect to a person or
based on a court finding. (1) A title IV–

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§ 1355.38

45 CFR Ch. XIII (10–1–12 Edition)

E agency or entity found to be in violation of section 471(a)(18) of the Act
with respect to a person, as described
in paragraphs (a)(2)(i) and (a)(2)(ii) of
this section, will be penalized in accordance with paragraph (g)(2) of this
section. A title IV–E agency or entity
determined to be in violation of section
471(a)(18) of the Act as a result of a
court finding will be penalized in accordance with paragraph (g)(4) of this
section. The title IV–E agency may develop, obtain approval of, and implement a plan of corrective action any
time after it receives written notification from ACF that it is in violation of
section 471(a)(18) of the Act.
(2) Corrective action plans are subject to ACF approval.
(3) If the corrective action plan does
not meet the provisions of paragraph
(d) of this section, the title IV–E agency must revise and resubmit the plan
for approval until it has an approved
plan.
(4) A title IV–E agency or entity
found to be in violation of section
471(a)(18) of the Act by a court must
notify ACF within 30 days from the
date of entry of the final judgment
once all appeals have been exhausted,
declined, or the appeal period has expired.
(c) Corrective action for violations resulting from a title IV–E agency’s statute,
regulation, policy, procedure, or practice.
(1) A title IV–E agency found to have
committed a violation of the type described in paragraph (a)(2)(iii) of this
section must develop and submit a corrective action plan within 30 days of receiving written notification from ACF
that it is in violation of section
471(a)(18). Once the plan is approved the
title IV–E agency will have to complete the corrective action and come
into compliance. If the title IV–E agency fails to complete the corrective action plan within six months and come
into compliance, a penalty will be imposed in accordance with paragraph
(g)(3) of this section.
(2) Corrective action plans are subject to ACF approval.
(3) If the corrective action plan does
not meet the provisions of paragraph
(d) of this section, the title IV–E agency must revise and resubmit the plan
within 30 days from the date it receives

a written notice from ACF that the
plan has not been approved. If the title
IV–E agency does not submit a revised
corrective action plan according to the
provisions of paragraph (d) of this section, withholding of funds pursuant to
the provisions of paragraph (g) of this
section will apply.
(d) Contents of a corrective action plan.
A corrective action plan must:
(1) Identify the issues to be addressed;
(2) Set forth the steps for taking corrective action;
(3) Identify any technical assistance
needs and Federal and non-Federal
sources of technical assistance which
will be used to complete the action
steps; and,
(4) Specify the completion date. This
date will be no later than 6 months
from the date ACF approves the corrective action plan.
(e) Evaluation of corrective action plan.
ACF will evaluate corrective action
plans and notify the title IV–E agency
(in writing) of its success or failure to
complete the plan within 30 calendar
days. If the title IV–E agency has failed
to complete the corrective action plan,
ACF will calculate the amount of reduction in the title IV–E agency’s title
IV–E payment and include this information in the written notification of
failure to complete the plan.
(f) Funds to be withheld. The term
‘‘title IV–E funds’’ refers to the
amount of Federal funds advanced or
paid to the title IV–E agency for allowable costs incurred by a title IV–E
agency for: foster care maintenance
payments, adoption assistance payments, administrative costs, and training costs under title IV–E and includes
the title IV–E agency’s allotment for
the Chafee Foster Care Independence
Program under section 477 of the Act.
(g) Reduction of title IV-E funds. (1)
Title IV-E funds shall be reduced in
specified amounts in accordance with
paragraph (h) of this section under the
following circumstances:
(i) A determination that a title IV–E
agency or entity is in violation of section 471(a)(18) of the Act with respect
to a person as described in paragraphs
(a)(2)(i) and (a)(2)(ii) of this section, or:

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Office of Human Development Services, HHS
(ii) After a title IV–E agency’s failure
to implement and complete a corrective action plan and come into compliance as described in paragraph (c) of
this section.
(2) Once ACF notifies a title IV–E
agency (in writing) that it has committed a section 471(a)(18) violation
with respect to a person, the title IV–
E agency’s title IV–E funds will be reduced for the fiscal quarter in which
the title IV–E agency received written
notification and for each succeeding
quarter within that fiscal year or until
the title IV–E agency completes a corrective action plan and comes into
compliance, whichever is earlier. Once
ACF notifies an entity (in writing) that
it has committed a section 471(a)(18)
violation with respect to a person, the
entity must remit to the Secretary all
title IV–E funds paid to it by the title
IV–E agency during the quarter in
which the entity is notified of the violation.
(3) For title IV–E agencies that fail
to complete a corrective action plan
within 6 months, title IV–E funds will
be reduced by ACF for the fiscal quarter in which the title IV–E agency received notification of its violation. The
reduction will continue for each succeeding quarter within that fiscal year
or until the title IV–E agency completes the corrective action plan and
comes into compliance, whichever is
earlier.
(4) If, as a result of a court finding, a
title IV–E agency or entity is determined to be in violation of section
471(a)(18) of the Act, ACF will assess a
penalty without further investigation.
Once the title IV–E agency is notified
(in writing) of the violation, its title
IV–E funds will be reduced for the fiscal quarter in which the court finding
was made and for each succeeding
quarter within that fiscal year or until
the title IV–E agency completes a corrective action plan and comes into
compliance, whichever is sooner. Once
an entity is notified (in writing) of the
violation, the entity must remit to the
Secretary all title IV–E funds paid to it
by the title IV–E agency during the
quarter in which the court finding was
made.
(5) The maximum number of quarters
that a title IV–E agency will have its

§ 1355.38

title IV–E funds reduced due to a finding of a title IV–E agency’s failure to
conform to section 471(a)(18) of the Act
is limited to the number of quarters
within the fiscal year in which a determination of nonconformity was made.
However, an uncorrected violation may
result in a subsequent review, another
finding, and additional penalties.
(6) No penalty will be imposed for a
court finding of a violation of section
471(a)(18) until the judgement is final
and all appeals have been exhausted,
declined, or the appeal period has expired.
(h) Determination of the amount of reduction of Federal funds. ACF will determine the reduction in title IV-E
funds due to a section 471(a)(18) violation in accordance with section
474(d)(1) and (2) of the Act.
(1) Title IV–E agencies that violate
section 471(a)(18) with respect to a person or fail to implement or complete a
corrective action plan as described in
paragraph (c) of this section will be
subject to a penalty. The penalty
structure will follow section 474(d)(1) of
the Act. Penalties will be levied for the
quarter of the fiscal year in which the
title IV–E agency is notified of its section 471(a)(18) violation, and for each
succeeding quarter within that fiscal
year until the title IV–E agency comes
into compliance with section 471(a)(18).
The reduction in title IV-E funds will
be computed as follows:
(i) 2 percent of the title IV–E agency’s title IV–E funds for the fiscal year
quarter, as defined in paragraph (f) of
this section, for the first finding of
noncompliance in that fiscal year;
(ii) 3 percent of the title IV–E agency’s title IV–E funds for the fiscal year
quarter, as defined in paragraph (f) of
this section, for the second finding of
noncompliance in that fiscal year;
(iii) 5 percent of the title IV–E agency’s title IV–E funds for the fiscal year
quarter, as defined in paragraph (f) of
this section, for the third or subsequent finding of noncompliance in that
fiscal year.
(2) Any entity (other than the title
IV–E agency) which violates section
471(a)(18) of the Act during a fiscal
quarter must remit to the Secretary
all title IV–E funds paid to it by the
title IV–E agency in accordance with

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§ 1355.39

45 CFR Ch. XIII (10–1–12 Edition)

the procedures in paragraphs (g)(2) or
(g)(4) of this section.
(3) No fiscal year payment to a title
IV–E agency will be reduced by more
than 5 percent of its title IV–E funds,
as defined in paragraph (f) of this section, where the title IV–E agency has
been determined to be out of compliance with section 471(a)(18) of the Act.
(4) The title IV–E agency or an entity, as applicable, will be liable for interest on the amount of funds reduced
by the Department, in accordance with
the provisions of 45 CFR 30.18.
(This requirement has been approved
by the Office of Management and Budget under OMB Control Number 0970–
0214. In accordance with the Paperwork
Reduction Act of 1995, an agency may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless it displays a currently valid OMB control number.)

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[65 FR 4082, Jan. 25, 2000, as amended at 66
FR 58676, Nov. 23, 2001; 77 FR 931, Jan. 6, 2012]

§ 1355.39 Administrative and judicial
review.
A title IV–E agency determined not
to be in substantial conformity with titles IV–B and IV–E plan requirements,
or a title IV–E agency or an entity in
violation of section 471(a)(18) of the
Act:
(a) May appeal, pursuant to 45 CFR
part 16, the final determination and
any subsequent withholding of, or reduction in, funds to the HHS Departmental Appeals Board within 60 days
after receipt of a notice of nonconformity described in § 1355.36(e)(1) of
this part, or receipt of a notice of noncompliance by ACF as described in
§ 1355.38(a)(3) of this part; and
(b) Will have the opportunity to obtain judicial review of an adverse decision of the Departmental Appeals
Board within 60 days after the title IV–
E agency or entity receives notice of
the decision by the Board. Appeals of
adverse Department Appeals Board decisions must be made to the district
court of the United States for the judicial district in which the principal or
headquarters office of the agency responsible for administering the program is located.
(c) The procedure described in paragraphs (a) and (b) of this section will

not apply to a finding that a title IV–
E agency or an entity has been determined to be in violation of section
471(a)(18) which is based on a judicial
decision.
[65 FR 4083, Jan. 25, 2000, as amended at 77
FR 932, Jan. 6, 2012]

§ 1355.40 Foster care
data collection.

and

(a) Scope of the data collection system.
(1) Each title IV–E agency which administers or supervises the administration of titles IV–B and IV–E must implement a system to collect data. The
data reporting system must meet the
requirements of § 1355.40(b) and electronically report certain data regarding children in foster care and adoption. The foster care data elements are
listed and defined in Appendix A to this
part and the adoption data elements
are listed and defined in Appendix B to
this part.
(2) For the purposes of foster care reporting, each data transmission must
include all children in foster care for
whom the title IV–E agency has responsibility for placement, care, or supervision. This includes American Indian children covered under the assurances in section 422(b)(8) of the Act on
the same basis as any other child. For
children in care less than 30 days, only
a core set of information will be required, as noted in Appendix A to this
part. For children who enter foster
care prior to October 1, 1995 and who
are still in the system, core data elements will be required; in addition, the
title IV–E agency also will be required
to report on the most recent case plan
goal affecting those children. For children in out-of-State placement, the
State placing the child and making the
foster care payment submits and continually updates the data. For children
in the Tribal title IV–E agency’s placement and care responsibility who are
placed outside of the Tribal service
area, the Indian Tribe placing the child
and making foster care payments submits and continually updates the data
for each such child.
(3) For the purposes of adoption reporting, data are required to be transmitted by the title IV–E agency on all
adopted children who were placed by

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the title IV–E agency, and on all adopted children for whom the agency is providing adoption assistance (either ongoing or for nonrecurring expenses),
care or services directly or by contract
or agreement with other private or
public agencies. Full adoption data as
specified in appendix B to this part are
required only for children adopted after
the implementation date of October 1,
1994. For children adopted prior to October 1, 1994, who are continuing to receive title IV-E subsidies, aggregate
data are to be reported. For a child
adopted out-of-State, the title IV–E
agency which placed the child submits
the data. Similarly, the Tribal title IV–
E agency which placed the child outside of the Tribal service area for adoption submits the data.
(b) Foster care and adoption reporting
requirements. (1) The title IV–E agency
shall transmit semi-annually, within 45
days of the end of the reporting period
(i.e., by May 15 and November 14), information on each child in foster care
and each child adopted during the reporting period. The information to be
reported consists of the data elements
found in appendices A and B to this
part. The data must be extracted from
the data system as of the last day of
the reporting period and must be submitted in electronic form as described
in appendix C to this part and in record
layouts as delineated in appendix D to
this part.
(2) For foster care information, the
child-specific data to be transmitted
must reflect the data in the information system when the data are extracted. Dates of removal from the
home and discharge from foster care
must be entered in accordance with
paragraph (d)(1) of this section. The
date of the most recent periodic review
(either administrative or court) must
be entered for children who have been
in foster care for more than nine
months. Entry of this date constitutes
title IV–E agency certification that the
data on the child have been reviewed
and are current.
(3) Adoption data are to be reported
during the reporting period in which

§ 1355.40

the adoption is legalized or, at the title
IV–E agency’s option, in the following
reporting period if the adoption is legalized within the last 60 days of the
reporting period. For a semi-annual period in which no adoptions have been
legalized, the title IV–E agency must
report such an occurrence.
(4) A summary file of the semi-annual data transmission must be submitted and will be used to verify the
completeness of the title IV–E agency’s
detailed submission for the reporting
period.
(5) A variety of internal data consistency checks will be used to judge the
internal consistency of the semi-annual detailed data submission. These
are specified in Appendix E to this
part.
(c) Missing data standards. (1) The
term ‘‘missing data’’ refers to instances where no data have been entered, if applicable, for a particular
data element. In addition, all data elements which fail a consistency check
for a particular case will be converted
to missing data. All data which are
‘‘out of range’’ (i.e., the response is beyond the parameters allowed for that
particular data element) will also be
converted to missing data. Details of
the circumstances under which data
will be converted to missing data are
specified in appendix E to this part.
Data elements with responses of ‘‘cannot be determined’’ or ‘‘not yet determined’’ are not considered as having
missing data.
(2) Substantial noncompliance occurs
when missing data exceed 10 percent
for any one data element.
(d) Timeliness of foster care data reports. Ninety percent of the subject
transactions must have been entered
into the system within 60 days of the
event (removal from home or discharge
from foster care) or the title IV–E
agency will be found in substantial
noncompliance.
(e) Substantial Noncompliance. Failure
by a title IV–E agency to meet any of
the standards described in paragraphs

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§ 1355.50

45 CFR Ch. XIII (10–1–12 Edition)

(a) through (d) of this section is considered a substantial failure to meet the
requirements of the title IV–E plan.
(This requirement has been approved by the
Office of Management and Budget under
OMB Control Number 0980–0267. In accordance with the Paperwork Reduction Act of
1995, an agency may not conduct or sponsor,
and a person is not required to respond to, a
collection of information unless it displays a
currently valid OMB control number.)
[58 FR 67924, Dec. 22, 1993, as amended at 60
FR 40507, Aug. 9, 1995; 65 FR 4084, Jan. 25,
2000; 66 FR 58676, Nov. 23, 2001; 77 FR 932, Jan.
6, 2012]

§ 1355.50 Purpose of this part.
This part sets forth the requirements
and procedures title IV–E agencies
must meet in order to receive Federal
financial participation for the planning, design, development, installation
and operation of statewide or Tribal
automated child welfare information
systems authorized under section
474(a)(3)(c) of the Act.

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[77 FR 933, Jan. 6, 2012]

§ 1355.52 Funding authority for statewide or Tribal automated child welfare information systems (SACWIS/
TACWIS).
(a) Title IV–E agencies may receive
Federal reimbursement at the 50 percent level for expenditures related to
the planning, design, development and
installation of a statewide or Tribal
automated child welfare information
system, to the extent such system:
(1) Provides for the title IV–E agency
to collect and electronically report certain data required by section 479(b) of
the Act and § 1355.40 of this part;
(2) To the extent practicable, provides for an interface with the data collection system for child abuse and neglect;
(3) To the extent practicable, provides for an interface with and retrieval of information from the State
or Tribal automated information system that collects information relating
to the eligibility of individuals under
title IV–A of the Act; and
(4) Provides for more efficient, economical and effective administration
of the programs carried out under a
plan approved under title IV–B and
title IV–E.

(b) Title IV–E agencies may also be
reimbursed for the full amount of expenditures for the hardware components for such systems at the rate provided under paragraph (a) of this section.
(c) Expenditures for the operation of
the automated information system described in paragraph (a) of this section
are eligible for FFP at the 50 percent
matching rate.
[58 FR 67945, Dec. 22, 1993, as amended at 77
FR 933, Jan. 6, 2012]

§ 1355.53 Conditions for approval of
funding.
(a) As a condition of funding, the
SACWIS or TACWIS must be designed,
developed (or an existing system enhanced), and installed in accordance
with an approved advance planning
document (APD). The APD must provide for a design which, when implemented, will produce a comprehensive
system, which is effective and efficient,
to improve the program management
and administration of the plans for titles IV–B and IV–E as provided under
this section.
(b) At a minimum, the system must
provide for effective management,
tracking and reporting by providing
automated procedures and processes to:
(1) Meet the Adoption and Foster
Care reporting requirements through
the collection, maintenance, integrity
checking and electronic transmission
of the data elements specified by the
Adoption and Foster Care Analysis and
Reporting System (AFCARS) requirements mandated under section 479(b) of
the Act and § 1355.40 of this part;
(2) Provide, for electronic exchanges
and referrals, as appropriate, with the
following systems within the State or
Tribe, unless the title IV–E agency
demonstrates that such interface or integration would not be practicable because of systems limitations or cost
constraints:
(i) Systems operated under title IVA,
(ii) National Child Abuse and Neglect
Data Systems (NCANDS),
(iii) Systems operated under title
XIX, and
(iv) Systems operated under title IVD;

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Office of Human Development Services, HHS
(3) Support the provisions of section
422(a) by providing for the automated
collection, maintenance, management
and reporting of information on all
children in foster care under the responsibility of the title IV–E agency,
including statewide data (or in the case
of a Tribal title IV–E agency, service
area data) from which the demographic
characteristics, location, and goals for
foster care children can be determined;
(4) Collect and manage information
necessary to facilitate the delivery of
client services, the acceptance and referral of clients, client registration,
and the evaluation of the need for services, including child welfare services
under title IV-B Subparts 1 and 2, family preservation and family support
services, family reunificication and
permanent placement;
(5) Collect and manage information
necessary to determine eligibility for:
(i) The foster care program,
(ii) The adoption assistance program,
and
(iii) The independent living program;
(6) Support necessary case assessment activities;
(7) Monitor case plan development,
payment authorization and issuance,
review and management, including eligibility determinations and redeterminations; and
(8) Ensure the confidentiality and security of the information and the system.
(c) A system established under paragraph (a) of this section may also provide support in meeting the following
program functions:
(1) Resource management, including
automated procedures to assist in managing service providers, facilities, contracts and recruitment activities associated with foster care and adoptive
families;
(2) Tracking and maintenance of
legal and court information, and preparation of appropriate notifications to
relevant parties;
(3) Administration and management
of staff and workloads;
(4) Licensing verification; and
(5) Risk analysis.
(d) The system may also provide for
interface with other automated information systems, including, but not
limited to, accounting and licensing

§ 1355.55

systems, court and juvenile justice systems, vital statistics and education, as
appropriate.
(e) If the cost benefit analysis submitted as part of the APD indicates
that adherence to paragraphs (c) and
(d) of this section would not be cost
beneficial, final approval of the APD
may be withheld until resolution is
reached on the level of automation appropriate to meet the title IV–E agency’s needs.
(f) A Statewide or Tribal automated
child welfare information system may
be designed, developed and installed on
a phased basis, in order to allow title
IV–E agencies to implement AFCARS
requirements expeditiously, in accordance with section 479(b) of the Act, as
long as the approved APD includes the
title IV–E agency’s plan for full implementation of a comprehensive system
which meets all functional and data requirements as specified in paragraphs
(a) and (b) of this section, and a system
design which will support these enhancements on a phased basis.
(g) The system must perform Quality
Assurance functions to provide for the
review of case files for accuracy, completeness and compliance with Federal
requirements, State standards and
where applicable, Tribal standards.
[58 FR 67945, Dec. 22, 1993, as amended at 60
FR 26839, Mar. 19, 1995; 77 FR 933, Jan. 6, 2012]

§ 1355.54 Submittal of advance planning documents.
The title IV–E agency must submit
an APD for a statewide automated
child welfare information system,
signed by the appropriate official, in
accordance with procedures specified
by 45 CFR part 95, subpart F.
[77 FR 934, Jan. 6, 2012]

§ 1355.55 Review and assessment of
the system developed with enhanced funds.
(a) ACF will, on a continuing basis,
review, assess and inspect the planning, design, development, installation
and operation of the SACWIS or
TACWIS to determine the extent to
which such systems:
(1) Meet § 1355.53 of this chapter,
(2) Meet the goals and objectives
stated in the approved APD,

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§ 1355.56

45 CFR Ch. XIII (10–1–12 Edition)

(3) Meet the schedule, budget, and
other conditions of the approved APD,
and
(4) Comply with the automated data
processing services and acquisitions
procedures and requirements of 45 CFR
part 95, subpart F.
(b) [Reserved]
(This requirement has been approved
by the Office of Management and Budget under OMB Control Number 0970–
0007. In accordance with the Paperwork
Reduction Act of 1995, an agency may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless it displays a currently valid OMB control number.)
[58 FR 67946, Dec. 22, 1993, as amended at 77
FR 934, Jan. 6, 2012]

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§ 1355.56 Failure to meet the conditions of the approved APD.
(a) If ACF finds that the title IV–E
agency fails to meet any of the conditions cited in § 1355.53, or to substantially comply with the criteria, requirements and other undertakings
prescribed by the approved APD, approval of the APD may be suspended.
(b) If the approval of an APD is suspended during the planning, design, development, installation, or operation of
the system:
(1) The title IV–E agency will be
given written notice of the suspension.
This notice shall state:
(i) The reason for the suspension,
(ii) The date of the suspension,
(iii) Whether the suspended system
complies with criteria for 50 percent
FFP, and
(iv) The actions required by the title
IV–E agency for future enhanced funding.
(2) The suspension will be effective as
of the date the title IV–E agency failed
to comply with the approved APD;
(3) The suspension shall remain in effect until ACF determines that such
system complies with prescribed criteria, requirements, and other undertakings for future Federal funding.
(4) Should a title IV–E agency cease
development of an approved system, either by voluntary withdrawal or as a
result of Federal suspension, all Federal incentive funds invested to date
that exceed the normal administrative

FFP rate (50 percent) will be subject to
recoupment.
[58 FR 67946, Dec. 22, 1993, as amended at 77
FR 934, Jan. 6, 2012]

§ 1355.57 Cost allocation.
(a) All expenditures of a title IV–E
agency to plan, design, develop, install,
and operate the data collection and information retrieval system described
in § 1355.53 of this part shall be treated
as necessary for the proper and efficient administration of the title IV–E
plan, without regard to whether the
system may be used with respect to
foster or adoptive children other than
those on behalf of whom foster care
maintenance payments or adoption assistance payments may be made under
the title IV–E plan.
(b) Cost allocation and distribution
for the planning, design, development,
installation and operation must be in
accordance with § 95.631 of this title
and section 474(c) of the Act, if the
SACWIS or TACWIS includes functions, processing, information collection and management, equipment or
services that are not directly related to
the administration of the programs
carried out under the plan approved
under title IV–B or IV–E.
[77 FR 934, Jan. 6, 2012]

APPENDIX A TO PART 1355—FOSTER
CARE DATA ELEMENTS
SECTION I—FOSTER CARE DATA ELEMENTS
Data elements preceded by ‘‘**’’ are the
only data elements required for children who
have been in care less than 30 days. For children who entered care prior to October 1,
1995, data elements preceded by either ‘‘**’’
and ‘‘***’’ are the only data elements required. This means that, for these two categories of children, these are the only data
elements to which the missing data standard
will be applied.
I. General Information
**A. Title IV–E agency llllllllll
**B. Report date ll (mo.) ll (yr.)
**C. Local Agency (County or Equivalent
Jurisdiction) lllllllllllllll
**D. Record Number
lllllllllll
**E. Date of Most Recent Periodic Review
(if Applicable) ll (mo.) ll (day) ll (yr.)
II. Child’s Demographic Information
**A. Date of Birth ll (mo.) ll (day) ll
(yr.)

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Office of Human Development Services, HHS
**B. Sex ll
Male: 1
Female: 2
C. Race/Ethnicity
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
Yes: 1
No: 2
Unable to Determine: 3
D. Has this child been clinically diagnosed
as having a disability(ies)? ll
Yes: 1
No: 2
Not Yet Determined: 3
1. If yes, indicate each type of disability
with a ‘‘1’’
Mental Retardation ll
Visually or Hearing Impaired ll
Physically Disabled ll
Emotionally Disturbed (DSM III)
Other Medically Diagnosed Condition Requiring Special Care ll
E. 1. Has this child ever been adopted? ll
Yes: 1
No: 2
Unable to Determine: 3
2. If yes, how old was the child when the
adoption was legalized? ll
Less than 2 years old: 1
2 to 5 years old: 2
6 to 12 years old: 3
13 years or older: 4
Unable to determine: 5
III. Removal/Placement Setting Indicators
A. Removal Episodes
Date of First Removal From Home ll
(mo.) ll (day) ll (yr.)
Total Number of Removals From Home to
Date ll
Date Child was Discharged From Last Foster Care Episode (if Applicable) ll (mo.)
ll (day) ll (yr.)
**; Date of Latest Removal From Home
ll (mo.) ll (day) ll (yr.)
**Transaction Date ll (mo.) ll (day)
ll (yr.)
B. Placement Settings
Date of Placement in Current Foster Care
Setting ll (mo.) ll (day) ll (yr.)
Number of Previous Placement Settings
During This Removal Episode ll

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IV. Circumstances of Removal
A. Manner of Removal From Home for Current Placement Episode ll
Voluntary: 1
Court Ordered: 2
Not Yet Determined: 3
B. Actions or Conditions Associated With
Child’s Removal: (Indicate all that apply
with a ‘‘1’’)

Pt. 1355, App. A

Physical Abuse (Alleged/Reported) llll
Sexual Abuse (Alleged/Reported) lllll
Neglect (Alleged/Reported) llllllll
Alcohol Abuse (Parent) llllllllll
Drug Abuse (Parent) lllllllllll
Alcohol Abuse (Child) lllllllllll
Drug Abuse (Child) llllllllllll
Child’s Disability lllllllllllll
Child’s Behavior Problem lllllllll
Death of Parent(s)
llllllllllll
Incarceration of Parent(s)
llllllll
Caretaker’s Inability to Cope Due to Illness or Other Reasons lllllllllll
Abandonment lllllllllllllll
Relinquishment llllllllllllll
Inadequate Housing llllllllllll
**V. Current Placement Setting llllll
**A. Pre-Adoptive Home: 1
Foster Family Home (Relative): 2
Foster Family Home (Non-Relative): 3
Group Home: 4
Institution: 5
Supervised Independent Living: 6
Runaway: 7
Tribal Home Visit: 8
**B. Is Current Placement Out-of-State/
Tribal service area? llllllllllll
Yes (Out-of-State/Tribal service area
Placement): 1
No (In State/Tribal service area Placement): 2***
VI. Most Recent Case Plan Goal llllll
Reunify With Parent(s) or Principal Caretaker(s): 1
Live With Other Relative(s): 2
Adoption: 3
Long Term Foster Care: 4
Emancipation: 5
Guardianship: 6
Case Plan Goal Not Yet Established: 7
VII. Principal Caretaker(s) Information
A. Caretaker Family Structure llllll
Married Couple: 1
Unmarried Couple: 2
Single Female: 3
Single Male: 4
Unable to Determine: 5
B. Year of Birth
1st Principal Caretaker llllllllll
2nd Principal Caretaker (If Applicable) ll
VIII. Parental Rights Termination (If
Applicable)
A. Mother ll (mo.) ll (day) ll (yr.)
B. Legal or Putative Father ll (mo.) ll
(day) ll (yr.)
IX. Foster Family Home—Parent(s) Data (To
be answered only if Section V., Part A.
CURRENT PLACEMENT SETTING is 1, 2
or 3)
A. Foster Family Structure llllllll
Married Couple: 1
Unmarried Couple: 2

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Pt. 1355, App. A

45 CFR Ch. XIII (10–1–12 Edition)

Single Female: 3
Single Male: 4
B. Year of Birth
1st Foster Caretaker lllllllllll
2nd Foster Caretaker (If Applicable) lll
C. Race/Ethnicity
1. Race of 1st Foster Caretaker
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
2. Hispanic or Latino Ethnicity of 1st Foster Caretaker ll
Yes: 1
No: 2
Unable to Determine: 3
3. Race of 2nd Foster Caretaker (If Applicable)
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
4. Hispanic or Latino Ethnicity of 2nd Foster Caretaker (If Applicable)
Yes: 1
No: 2
Unable to Determine: 3
X. Outcome Information
**A. Date of Discharge From Foster Care
ll (mo.) ll (day)ll (yr.)
**Transaction Date ll (mo.) ll (day)
ll (yr.)
**B. Reason for Discharge lllllllll
Reunification With Parents or Primary
Caretakers: 1
Living with Other Relative(s): 2
Adoption: 3
Emancipation: 4
Guardianship: 5
Transfer to Another Agency: 6
Runaway: 7
Death of Child: 8

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XI. Source(s) of Federal Financial Support/
Assistance for Child (Indicate all that
apply with a ‘‘1’’)
Title IV–E (Foster Care) lllllllll
Title IV–E (Adoption Assistance) lllll
Title IV–A (Aid to Families with Dependent Children) lllllllllllllll
Title IV–D (Child Support) llllllll
Title XIX (Medicaid) lllllllllll
SSI or Other Social Security Act Benefits
None of the Above lllllllllllll

XII. Amount of the monthly foster care
payment (regardless of sources). ll
SECTION II—DEFINITIONS OF AND INSTRUCTIONS FOR FOSTER CARE DATA ELEMENTS
Reporting population. The population to be
included in this reporting system includes
all children in foster care under the responsibility of the title IV–E agency administering
or supervising the administration of the title
IV–B Child and Family Services plan and the
title IV–E plan; that is, all children who are
required to be provided the assurances of section 422(b)(8) of the Social Security Act.
This population includes all children supervised by or under the responsibility of another public agency with which the title IV–
E agency has an agreement under title IV–E
and on whose behalf the title IV–E agency
makes title IV–E foster care maintenance
payments.
Foster care is defined as 24 hour substitute
care for children outside their own home.
The reporting system includes all children
who have or had been in foster care at least
24 hours. The foster care settings include,
but are not limited to:
—Family foster homes
—Relative foster homes (whether payments are made or not)
—Group homes
—Emergency shelters
—Residential facilities
—Child care institutions
—Pre-adoptive homes
Foster care does not include children who
are in their own homes under the responsibility of the title IV–E agency. However,
children who are at home on a trial basis
may be included even though they are not
considered to be in foster care. If they are included, element number V. CURRENT
PLACEMENT SETTING must be given the
value of ‘‘8’’.
I. General Information
A. Title IV–E agency**—for a State, the
U.S. Postal Service two letter abbreviation
for the State submitting the report. For a
Tribal title IV–E agency, the abbreviation
provided by ACF.
B. Report Date**—the last month and year
for the reporting period.
C. Local Agency**— Identity of the county
or equivalent unit which has responsibility
for the case. The 5 digit Federal Information
Processing Standard (FIPS) must be used or
other ACF-provided code.
D. Record Number**—The sequential number which the title IV–E agency uses to
transmit data to the Department of Health
and Human Services (DHHS) or a unique
number which follows the child as long as he
or she is in foster care. The record number
cannot be linked to the child’s case I.D.

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Office of Human Development Services, HHS
number except at the title IV–E agency
level.
E. Date of Most Recent Periodic Review (if
applicable)—For children who have been in
care for seven months or longer, enter the
month, day and year of the most recent administrative or court review, including
dispositional hearing. For children who have
been in care less than seven months, leave
the field blank. An entry in this field certifies that the child’s computer record is current up to this date.

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II. Child’s Demographic Information
A. Date of Birth**—Month, day and year of
the child’s birth. If the child is abandoned or
the date of birth is otherwise unknown,
enter an approximate date of birth. Use the
15th as the day of birth.
B. Sex**—Indicate as appropriate.
C. Race/Ethnicity**
1. Race—In general, a person’s race is determined by how they define themselves or
by how others define them. In the case of
young children, parents determine the race
of the child. Indicate all races (a through e)
that apply with a ‘‘1.’’ For those that do not
apply, indicate a ‘‘0.’’ Indicate ‘‘f. Unable to
Determine’’ with a ‘‘1’’ if it applies and a ‘‘0’’
if it does not.
American Indian or Alaska Native—A person having origins in any of the original peoples of North or South America (including
Central America), and who maintains tribal
affiliation or community attachment.
Asian—A person having origins in any of
the original peoples of the Far East, Southeast Asia, or the Indian subcontinent including, for example, Cambodia, China, India,
Japan, Korea, Malaysia, Pakistan, the Philippine Islands, Thailand, and Vietnam.
Black or African American—A person having origins in any of the black racial groups
of Africa.
Native Hawaiian or Other Pacific Islander—A person having origins in any of the
original peoples of Hawaii, Guam, Samoa, or
other Pacific Islands.
White—A person having origins in any of
the original peoples of Europe, the Middle
East, or North Africa.
Unable to Determine—The specific race
category is ‘‘unable to determine’’ because
the child is very young or is severely disabled and no person is available to identify
the child’s race. ‘‘Unable to determine’’ is
also used if the parent, relative or guardian
is unwilling to identify the child’s race.
2. Hispanic or Latino Ethnicity—Answer
‘‘yes’’ if the child is of Mexican, Puerto
Rican, Cuban, Central or South American origin, or a person of other Spanish cultural
origin regardless of race. Whether or not a
person is Hispanic or Latino is determined
by how they define themselves or by how
others define them. In the case of young children, parents determine the ethnicity of the

Pt. 1355, App. A

child. ‘‘Unable to Determine’’ is used because
the child is very young or is severely disabled and no person is available to determine
whether or not the child is Hispanic or
Latino. ‘‘Unable to determine’’ is also used if
the parent, relative or guardian is unwilling
to identify the child’s ethnicity.
D. Has the child been clinically diagnosed
as having a disability(ies)? ‘‘Yes’’ indicates
that a qualified professional has clinically
diagnosed the child as having at least one of
the disabilities listed below. ‘‘No’’ indicates
that a qualified professional has conducted a
clinical assessment of the child and has determined that the child has no disabilities.
‘‘Not Yet Determined’’ indicates that a clinical assessment of the child by a qualified
professional has not been conducted.
1. Indicate Each Type of Disability With a
‘‘1’’
Mental Retardation—Significantly subaverage general cognitive and motor functioning existing concurrently with deficits in
adaptive behavior manifested during the development period that adversely affect a
child’s/youth’s socialization and learning.
Visually or Hearing Impaired—Having a
visual impairment that may significantly affect educational performance or development; or a hearing impairment, whether permanent or fluctuating, that adversely affects
educational performance.
Emotionally Disturbed (DSM III)—A condition exhibiting one or more of the following
characteristics over a long period of time
and to a marked degree: An inability to build
or maintain satisfactory interpersonal relationships; inappropriate types of behavior or
feelings under normal circumstances; a general pervasive mood of unhappiness or depression; or a tendency to develop physical
symptoms or fears associated with personal
problems. The term includes persons who are
schizophrenic or autistic. The term does not
include persons who are socially maladjusted, unless it is determined that they
are also seriously emotionally disturbed. The
diagnosis is based on the Diagnostic and Statistical Manual of Mental Disorders (Third
Edition) (DSM III) or the most recent edition.
Other Medically Diagnosed Conditions Requiring Special Care—Conditions other than
those noted above which require special medical care such as chronic illnesses. Included
are children diagnosed as HIV positive or
with AIDS.
E.1. Has this child ever been adopted? If
this child has ever been legally adopted,
enter ‘‘yes.’’ If the child has never been legally adopted, enter ‘‘no’’. Enter ‘‘Unable to
Determine’’ if the child has been abandoned
or the child’s parent(s) are otherwise not
available to provide the information.
2. If yes, how old was the child when the
adoption was legalized? Enter the number
which represents the appropriate age range.

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45 CFR Ch. XIII (10–1–12 Edition)

If uncertain, use an estimate. If no one is
available to provide the information, enter
‘‘Unable to Determine.’’
III. Removal/Placement Setting Indicators
A. Removal Episodes—The removal of the
child from his/her normal place of residence
resulting in his/her placement in a foster
care setting.
Date of First Removal From Home—
Month, day and year the child was removed
from home for the first time for purpose of
placement in a foster care setting. If the current 1 removal is the first removal, enter the
date of the current removal.1For children
who have exited foster care, ‘‘current’’ refers
to the most recent removal episode and the
most recent placement setting.
Total Number of Removals from Home to
Date—The number of times the child was removed from home, including the current removal.
Date Child was Discharged From Last Foster Care Episode (If Applicable)—For children with prior removals, enter the month,
day and year they were discharged from care
for the episode immediately prior to the current episode. For children with no prior removals, leave blank.
Date of Latest Removal From Home**—
Month, day and year the child was last removed from his/her home for the purpose of
being place in foster care. This would be the
date for the current episode or, if the child
has existed foster care, the date of removal
for the most recent removal.
Transaction Date**—A computer generated
date which accurately indicates the month,
day and year the response to ‘‘Date of Latest
Removal From Home’’ was entered into the
information system.
B. Placement Settings.
Date of Placement in Current Foster Care
Setting—Month, day and year the child
moved into the current foster home, facility,
residence, shelter, institution, etc. for purposes of continued foster care.
Number of Previous Placement Settings
During This Removal Episode—Enter the
number of places the child has lived, including the current setting, during the current
removal episode. Do not include trial home
visits as a placement setting.

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IV. Circumstances of Removal
A. Manner of Removal From Home for Current Placement Episode.
Voluntary Placement Agreement—An official voluntary placement agreement has
been executed between the caretaker and the
agency. The placement remains voluntary
even if a subsequent court order is issued to
continue the child in foster care.
Court Ordered—The court has issued an
order which is the basis of the child’s removal.

Not Yet Determined—A voluntary placement agreement has not been signed or a
court order has not been issued. This will
mostly occur in very short-term cases. When
either a voluntary placement agreement is
signed or a court order issued, the record
should be updated to reflect the manner of
removal at that time.
B. Actions or Conditions Associated With
Child’s Removal (indicate all that apply with
a ‘‘1’’.)
Physical Abuse—Alleged or substantiated
physical abuse, injury or maltreatment of
the child by a person responsible for the
child’s welfare.
Sexual Abuse—Alleged or substantiated
sexual abuse or exploitation of a child by a
person who is responsible for the child’s welfare.
Neglect—Alleged or substantiated negligent treatment or maltreatment, including
failure to provide adequate food, clothing,
shelter or care.
Alcohol Abuse (Parent)—Principal caretaker’s compulsive use of alcohol that is not
of a temporary nature.
Drug Abuse (Parent)—Principal caretaker’s compulsive use of drugs that is not of
a temporary nature.
Alcohol Abuse (Child)—Child’s compulsive
use of or need for alcohol. This element
should include infants addicted at birth.
Drug Abuse (Child)—Child’s compulsive
use of or need for narcotics. This element
should include infants addicted at birth.
Child’s Disability—Clinical diagnosis by a
qualified professional of one or more of the
following: Mental retardation; emotional
disturbance; specific learning disability;
hearing, speech or sight impairment; physical disability; or other clinically diagnosed
handicap. Include only if the disability(ies)
was at least one of the factors which led to
the child’s removal.
Child’s Behavior Problem—Behavior in the
school and/or community that adversely affects socialization, learning, growth, and
moral development. These may include adjudicated or nonadjudicated child behavior
problems. This would include the child’s running away from home or other placement.
Death of Parent(s)—Family stress or inability to care for child due to death of a
parent or caretaker.
Incarceration of Parent(s)—Temporary or
permanent placement of a parent or caretaker in jail that adversely affects care for
the child.
Caretaker’s Inability to Cope Due to Illness or Other Reasons—Physical or emotional illness or disabling condition adversely affecting the caretaker’s ability to
care for the child.
Abandonment—Child left alone or with
others; caretaker did not return or make
whereabouts known.

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Relinquishment—Parent(s), in writing, assigned the physical and legal custody of the
child to the agency for the purpose of having
the child adopted.
Inadequate Housing—Housing facilities
were substandard, overcrowded, unsafe or
otherwise inadequate resulting in their not
being appropriate for the parents and child
to reside together. Also includes homelessness.

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V. Current Placement Setting**
A. Identify the type of setting in which the
child currently lives.
Pre-Adoptive Home—A home in which the
family intends to adopt the child. The family
may or may not be receiving a foster care
payment or an adoption subsidy on behalf of
the child.
Foster Family Home (Relative)—A licensed or unlicensed home of the child’s relatives regarded by the title IV–E agency as a
foster care living arrangement for the child.
Foster Family Home (Non-Relative)—A licensed foster family home regarded by the
title IV–E agency as a foster care living arrangement.
Group Home—A licensed or approved home
providing 24-hour care for children in a small
group setting that generally has from seven
to twelve children.
Institution—A child care facility operated
by a public or private agency and providing
24-hour care and/or treatment for children
who require separation from their own
homes and group living experience. These facilities may include: Child care institutions;
residential treatment facilities; maternity
homes; etc.
Supervised Independent Living—An alternative transitional living arrangement
where the child is under the supervision of
the agency but without 24 hour adult supervision, is receiving financial support from
the child welfare agency, and is in a setting
which provides the opportunity for increased
responsibility for self care.
Runaway—The child has run away from
the foster care setting.
Trial Home Visit—The child has been in a
foster care placement, but, under title IV–E
agency supervision, has been returned to the
principal caretaker for a limited and specified period of time.
B. Is current placement setting outside of
the State or Tribal service area?
‘‘Yes’’ indicates that the current placement setting is located outside of the State
or the Tribal service area of the Tribal title
IV–E agency making the report.
‘‘No’’ indicates that the child continues to
reside within the State or the Tribal service
area of the Tribal title IV–E agency making
the report.
NOTE: Only the title IV–E agency with
placement and care responsibility for the

Pt. 1355, App. A

child should include the child in this reporting system.
VI. Most Recent Case Plan Goal***
Indicate the most recent case plan goal for
the child based on the latest review of the
child’s case plan—whether a court review or
an administrative review. If the child has
been in care less than six months, enter the
goal in the case record as determined by the
caseworker.
Reunify With Parents or Principal Caretaker(s)—The goal is to keep the child in foster care for a limited time to enable the
agency to work with the family with whom
the child had been living prior to entering
foster care in order to reestablish a stable
family environment.
Live With Other Relatives—The goal is to
have the child live permanently with a relative or relatives other than the ones from
whom the child was removed. This could include guardianship by a relative(s).
Adoption—The goal is to facilitate the
child’s adoption by relatives, foster parents
or other unrelated individuals.
Long Term Foster Care—Because of specific factors or conditions, it is not appropriate or possible to return the child home or
place her or him for adoption, and the goal is
to maintain the child in a long term foster
care placement.
Emancipation—Because of specific factors
or conditions, it is not appropriate or possible to return the child home, have a child
live permanently with a relative or have the
child be adopted; therefore, the goal is to
maintain the child in a foster care setting
until the child reaches the age of majority.
Guardianship—The goal is to facilitate the
child’s placement with an agency or unrelated caretaker, with whom he or she was
not living prior to entering foster care, and
whom a court of competent jurisdiction has
designated as legal guardian.
Case Plan Goal Not Yet Established—No
case plan goal has yet been established other
then the care and protection of the child.
VII. Principal Caretaker(s) Information
A. Caretaker Family Structure—Select
from the four alternatives—married couple,
unmarried couple, single female, single
male—the category which best describes the
type of adult caretaker(s) from whom the
child was removed for the current foster care
episode. Enter ‘‘Unable to Determine’’ if the
child has been abandoned or the child’s caretakers are otherwise unknown.
B. Year of Birth—Enter the year of birth
for up to two caretakers. If the response to
data element VII. A—Caretaker Family
Structure, was 1 or 2, enter data for two
caretakers. If the response was 3 or 4, enter
data only for the first caretaker. If the exact

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45 CFR Ch. XIII (10–1–12 Edition)

year of birth is unknown, enter an estimated
year of birth.
VIII. Parental Rights Termination
Enter the month, day and year that the
court terminated the parental rights. If the
parents are known to be deceased, enter the
date of death.
IX. Family Foster Home—Parent(s) Data
Provide information only if data element
in Section V., Part A. CURRENT PLACEMENT SETTING is 1, 2, or 3.
A. Foster Family Structure—Select from
the four alternatives—married couple, unmarried couple, single female, single male—
the category which best describes the nature
of the foster parents with whom the child is
living in the current foster care episode.
B. Year of Birth—Enter the year of birth
for up to two foster parents. If the response
to data element IX. A.—Foster Family
Structure, was 1 or 2, enter data for two
caretakers. If the response was 3 or 4, enter
data only for the first caretaker. If the exact
year of birth is unknown, enter an estimated
year of birth.
C. Race—Indicate the race for each of the
foster parent(s). See instructions and definitions for the race categories under data element II.C.1. Use ‘‘f. Unable to Determine’’
only when a parent is unwilling to identify
his or her race. Hispanic or Latino Ethnicity—Indicate the ethnicity for each of the
foster parent(s). See instructions and definitions under data element II.C.2. Use ‘‘f. Unable to Determine’’ only when a parent is unwilling to identify his or her ethnicity.

Transfer to Another Agency—Responsibility for the care of the child was awarded
to another agency—either in or outside of
the State or Tribal service area.
Runaway—The child ran away from the
foster care placement.
Death of Child—The child died while in foster care.
XI. Source(s) of Federal Support/Assistance
for Child (Indicate All That Apply With a
‘‘1’’.)
Title IV–E (Foster Care)—Title IV–E foster
care maintenance payments are being paid
on behalf of the child.
Title IV–E (Adoption Subsidy)—Title IV–E
adoption subsidy is being paid on behalf of
the child who is in an adoptive home, but the
adoption has not been legalized.
Title IV–A (Aid to Families With Dependent Children)—Child is living with relative(s)
whose source of support is an AFDC payment
for the child.
Title IV–D (Child Support)—Child support
funds are being paid to the State agency on
behalf of the child by assignment from the
receiving parent.
Title XIX (Medicaid)—Child is eligible for
and may be receiving assistance under title
XIX.
SSI or Other Social Security Act Benefits—Child is receiving support under title
XVI or other Social Security Act titles not
included in this section.
None of the Above—Child is receiving support only from the title IV–E agency, or
from some other source (Federal or non-Federal) which is not indicated above.
XII. Amount of the Monthly Foster Care
Payment (Regardless of Sources)

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X. Outcome Information
Enter data only for children who have
exited foster care during the reporting period.
A. Date of Discharge From Foster Care**—
Enter the month, day and year the child was
discharged from foster care. If the child has
not been discharged from care, leave blank.
Transaction Date**—A computer generated
date which accurately indicates the month,
day and year the response to ‘‘Date of Discharge from Foster Care’’ was entered into
the information system.
B. Reason for Discharge**.
Reunification With Parents or Primary
Caretakers—The child was returned to his or
her principal caretaker(s)’ home.
Living With Other Relatives—The child
went to live with a relative other than the
one from whose home he or she was removed.
Adoption—The child was legally adopted.
Emancipation—The child reached majority
according to the law by virtue of age, marriage, etc.
Guardianship—Permanent custody of the
child was awarded to an individual.

Enter the monthly payment paid on behalf
of the child regardless of source (i.e., Federal, State, county, municipality, tribal, and
private payments). If title IV–E is paid on
behalf of the child the amount indicated
should be the total computable amount. If
the payment made on behalf of the child is
not the same each month, indicate the
amount of the last full monthly payment
made during the reporting period. If no
monthly payment has been made during the
period, enter all zeros.
[77 FR 934, Jan. 6, 2012]

APPENDIX B TO PART 1355—ADOPTION
DATA ELEMENTS
SECTION I—ADOPTION DATA ELEMENTS
I. General Information
A. Title IV–E agencyll
B. Report Date ll(mo.) ll(day) ll(yr.)
C. Record Numberll
D. Did the Title IV–E Agency Have any Involvement in This Adoption? ll

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Office of Human Development Services, HHS
Yes: 1
No: 2
II. Child’s Demographic Information
A. Date of Birth ll(mo) ll(day) ll(yr.)
B. Sex ll
Male: 1
Female: 2
C. Race/Ethnicity
1. Race
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
2. Hispanic or Latino Ethnicityll
Yes: 1
No: 2
Unable to determine: 3
III. Special Needs Status
A. Has the title IV–E agency determined
that this child has special needs? ll
Yes: 1
No: 2
B. If yes, indicate the primary basis for determining that this child has special needs
ll
Racial/Original Background: 1
Age: 2
Membership in a Sibling Group to be
Placed for Adoption Together: 3
Medical Conditions or Mental, Physical or
Emotional Disabilities: 4
Other: 5
1. If III. B was ‘‘4,’’ indicate with a ‘‘1’’ the
type(s) of disability(ies)
Mental Retardation ll
Visually or Hearing Impaired ll
Physically Disabled ll
Emotionally Disturbed (DSM III) ll
Other Medically Diagnosed Condition Requiring Special Care ll

Married Couple: 1
Unmarried Couple: 2
Single Female: 3
Single Male: 4
B. Year of Birth
Mother (if Applicable) ll
Father (if Applicable) ll
C. Race/Ethnicity
1. Adoptive Mother’s Race (If Applicable)
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
2. Hispanic or Latino Ethnicity of Mother
(If Applicable)ll
Yes: 1
No: 2
Unable to Determine: 3
3. Adoptive Father’s Race (If Applicable)
a. American Indian or Alaska Native
b. Asian
c. Black or African American
d. Native Hawaiian or Other Pacific Islander
e. White
f. Unable to Determine
4. Hispanic or Latino Ethnicity of Father
(If Applicable)ll
Yes: 1
No: 2
Unable to Determine: 3
D. Relationship of Adoptive Parent(s) to
the Child (Indicate with a ‘‘1’’ all that apply)
Stepparent
Other Relative of Child by Birth or Marriage ll
Foster Parent of Child ll
Non-Relative ll
VII. Placement Information
A. Child Was Placed From ll
Within State/Tribal Service Area: 1
Another State/Tribal Service Area: 2
Another Country: 3
B. Child Was Placed by ll
Public Agency: 1
Private Agency: 2
Tribal Agency: 3
Independent Person: 4
Birth Parent: 5

IV. Birth Parents
A. Year of Birth ll
Mother, If known ll
Father (Putative or Legal), if known ll
B. Was the mother married at the time of
the child’s birth? ll
Yes: 1
No: 2
Unable to Determine: 3

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Pt. 1355, App. B

V. Court Actions

VIII. Financial Adoption Support

A. Dates of Termination of Parental
Rights
Mother ll(mo.) ll(day) ll(yr.)
Father ll(mo.) ll(day) ll(yr.)
B. Date Adoption Legalized ll(mo.)
ll(day) ll(yr.)

A. Is a monthly financial subsidy being
paid for this child? ll
Yes: 1
No: 2
B. If yes, the monthly amount ll
C. If VIII. A is yes, is the subsidy paid
under Title IV–E adoption assistance? ll
Yes: 1
No: 2

VI. Adoptive Parents
A. Family Structure ll

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Pt. 1355, App. B

45 CFR Ch. XIII (10–1–12 Edition)

SECTION II—DEFINITIONS OF INSTRUCTIONS FOR
ADOPTION DATA ELEMENTS
Reporting Population
The title IV–E agency must report on all
children who are adopted in the State or
Tribal service area during the reporting period and in whose adoption the title IV–E
agency has had any involvement. Failure to
report on these adoptions will result in assessed finding of noncompliance. Reports on
all other adoptions are encouraged but are
voluntary. Therefore, reports on the following are mandated:
(a) All children adopted who had been in
foster care under the responsibility and care
of the child welfare agency and who were
subsequently adopted whether special needs
or not and whether subsidies are provided or
not;
(b) All special needs children who were
adopted in the State or Tribal service area,
whether or not they were in the public foster
care system prior to their adoption and for
whom non-recurring expenses were reimbursed; and
(c) All children adopted for whom an adoption assistance payment or service is being
provided based on arrangements made by or
through the title IV–E agency.
These children must be identified by answering ‘‘yes’’ to data element I.D. Children
who are reported by the title IV–E agency,
but for whom there has not been any title
IV–E agency involvement, and whose reporting, therefore, has not been mandated, are
identified by answering ‘‘no’’ to element I.D.

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I. General Information
A. Title IV–E agency—For a State, the
U.S. Postal Service two letter abbreviation
for the State submitting the report. For a
Tribal title IV–E agency, the two letter abbreviation provided by ACF.
B. Report Date—The last month and the
year for the reporting period.
C. Record Number—The sequential number
which the title IV–E agency uses to transmit
data to the Department of Health and
Human Services (DHHS). The record number
cannot be linked to the child except at the
title IV–E agency level.
D. Did the title IV–E Agency Have Any Involvement in This Adoption?
Indicate whether the title IV–E agency had
any involvement in this adoption, that is,
whether the adopted child belongs to one of
the following categories:
• A child who had been in foster care under
the responsibility and care of the child welfare agency and who was subsequently adopted whether special needs or not and whether
a subsidy was provided;
• A special needs child who was adopted in
the State or Tribal service area, whether or
not he/she was in the public foster care sys-

tem prior to his/her adoption and for whom
non-recurring expenses were reimbursed; or
• A child for whom an adoption assistance
payment or service is being provided based
on arrangements made by or through the
title IV–E agency.
II. Child’s Demographic Information
A. Date of Birth—Month and year of the
child’s birth. If the child was abandoned or
the date of birth is otherwise unknown,
enter an approximate date of birth.
B. Sex—Indicate as appropriate.
C. Race/Ethnicity
1. Race—In general, a person’s race is determined by how they define themselves or
by how others define them. In the case of
young children, parents determine the race
of the child. Indicate all races (a-e) that
apply with a ‘‘1.’’ For those that do not
apply, indicate a ‘‘0.’’ Indicate ‘‘f. Unable to
Determine’’ with a 1’’ if it applies and a ‘‘0’’
if it does not.
American Indian or Alaska Native—A person having origins in any of the original peoples of North or South America (including
Central America), and who maintains tribal
affiliation or community attachment.
Asian—A person having origins in any of
the original peoples of the Far East, Southeast Asia, or the Indian subcontinent including, for example, Cambodia, China, India,
Japan, Korea, Malaysia, Pakistan, the Philippine Islands, Thailand, and Vietnam.
Black or African American—A person having origins in any of the black racial groups
of Africa.
Native Hawaiian or Other Pacific Islander—A person having origins in any of the
original peoples of Hawaii, Guam, Samoa, or
other Pacific Islands.
White—A person having origins in any of
the original peoples of Europe, the Middle
East, or North Africa.
Unable to Determine—The specific race
category is ‘‘unable to determine’’ because
the child is very young or is severely disabled and no person is available to identify
the child’s race. ‘‘Unable to determine’’ is
also used if the parent, relative or guardian
is unwilling to identify the child’s race.
2. Hispanic or Latino Ethnicity—Answer
‘‘yes’’ if the child is of Mexican, Puerto
Rican, Cuban, Central or South American origin, or a person of other Spanish cultural
origin regardless of race. Whether or not a
person is Hispanic or Latino is determined
by how they define themselves or by how
others define them. In the case of young children, parents determine the ethnicity of the
child. ‘‘Unable to Determine’’ is used because
the child is very young or is severely disabled and no other person is available to determine whether or not the child is Hispanic
or Latino. ‘‘Unable to determine’’ is also
used if the parent, relative or guardian is unwilling to identify the child’s ethnicity.

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III. Special Needs Status
A. Has the title IV–E Agency Determined
That the Child has Special Needs? Use the
title IV–E agency definition of special needs
as it pertains to a child eligible for an adoption subsidy under title IV–E.
B. Primary Factor or Condition for Special
Needs—Indicate only the primary factor or
condition for categorization as special needs
and only as it is defined by the title IV–E
agency. Racial/Original Background—Primary condition or factor for special needs is
racial/original background as defined by the
title IV–E agency.
Age—Primary factor or condition for special needs is age of the child as defined by
the title IV–E agency.
Membership in a Sibling Group to be
Placed for Adoption Together—Primary factor or condition for special needs is membership in a sibling group as defined by the title
IV–E agency.
Medical Conditions of Mental, Physical, or
Emotional Disabilities—Primary factor or
condition for special needs is the child’s
medical condition as defined by the title IV–
E agency, but clinically diagnosed by a
qualified professional.
When this is the response to question B,
then item 1 below must be answered.
1. Types of Disabilities—Data are only to
be entered if response to III.B was ‘‘4.’’ Indicate with a ‘‘1’’ the types of disabilities.
Mental Retardation—Significantly subaverage general cognitive and motor functioning existing concurrently with deficits in
adaptive behavior manifested during the developmental period that adversely affect a
child’s/youth’s socialization and learning.
Visually or Hearing Impaired—Having a
visual impairment that may significantly affect educational performance or development; or a hearing impairment, whether permanent or fluctuating, that adversely affects
educational performance.
Physically Disabled—A physical condition
that adversely affects the child’s day-to-day
motor functioning, such as cerebral palsy,
spina bifida, multiple sclerosis, orthopedic
impairments, and other physical disabilities.
Emotionally Disturbed (DSM III)—A condition exhibiting one or more of the following
characteristics over a long period of time
and to a marked degree: An inability to build
or maintain satisfactory interpersonal relationships; inappropriate types of behavior or
feelings under normal circumstances; a general pervasive mood of unhappiness or depression; or a tendency to develop physical
symptoms or fears associated with personal
problems. The term includes persons who are
schizophrenic or autistic. The term does not
include persons who are socially maladjusted, unless it is determined that they
are also seriously emotionally disturbed. Diagnosis is based on the Diagnostic and Statis-

Pt. 1355, App. B

tical Manual of Mental Disorders (Third Edition) (DSM III) or the most recent edition.
Other Medically Diagnosed Conditions Requiring Special Care—Conditions other than
those noted above which require special medical care such as chronic illnesses. Included
are children diagnosed as HIV positive or
with AIDS.
IV. Birth Parents
A. Year of Birth—Enter the year of birth
for both parents, if known. If the child was
abandoned and no information was available
on either one or both parents, leave blank
for the parent(s) for which no information
was available.
B. Was the Mother Married at the Time of
the Child’s Birth?
Indicate whether the mother was married
at time of the child’s birth; include common
law marriage if legal in the State or Tribe. If
the child was abandoned and no information
was available on the mother, enter ‘‘Unable
to Determine.’’
V. Court Actions
A. Dates of Termination of Parental
Rights—Enter the month, day and year that
the court terminated parental rights. If the
parents are known to be deceased, enter the
date of death.
B. Date Adoption Legalized—Enter the
date the court issued the final adoption decree.
VI. Adoptive Parents
A. Family Structure—Select from the four
alternatives—married
couple,
unmarried
couple, single female, single male—the category which best describes the nature of the
adoptive parent(s) family structure.
B. Year of Birth—Enter the year of birth
for up to two adoptive parents. If the response to data element IV.A—Family Structure, was 1 or 2, enter data for two parents.
If the response was 3 or 4, enter data only for
the appropriate parent. If the exact year of
birth is unknown, enter an estimated year of
birth.
C. Race/Ethnicity—Indicate the race/ethnicity for each of the adoptive parent(s). See
instructions and definitions for the race/ethnicity categories under data element II.C.
Use ‘‘f. Unable to Determine’’ only when a
parent is unwilling to identify his or her race
or ethnicity.
D. Relationship to Adoptive Parent(s)—Indicate the prior relationship(s) the child had
with the adoptive parent(s).
Stepparent—Spouse of the child’s birth
mother or birth father.
Other Relative of Child by Birth or Marriage—A relative through the birth parents
by blood or marriage.
Foster Parent of Child—Child was placed
in a non-relative foster family home with a

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45 CFR Ch. XIII (10–1–12 Edition)

family which later adopted him or her. The
initial placement could have been for the
purpose of adoption or for the purpose of foster care.
Non-Relative—Adoptive parent fits into
none of the categories above.
VII. Placement Information
A. Child Was Placed From: Indicate the location of the individual or agency that had
custody or responsibility for the child at the
time of initiation of adoption proceedings.
Within State or Tribal service area—Responsibility for the child resided with an individual or agency within the State or service area of the Tribal title IV–E agency filing
the report.
Another State or Tribal service area—Responsibility for the child resided with an individual or agency in another State, Tribal
service area, or territory of the United
States.
Another Country—Immediately prior to
the adoptive placement, the child was residing in another country and was not a citizen
of the United States.
B. Child Was Placed By: Indicate the individual or agency which placed the child for
adoption.
Public Agency—A unit of State or local
government.
Private Agency—A for-profit or non-profit
agency or institution.
Tribal Agency—A unit within one of the
federally recognized Indian Tribes, Indian
Tribal organizations, or Indian Tribal consortia.
Independent Person—A doctor, a lawyer or
some other individual.
Birth Parent—The parent(s) placed the
child directly with the Adoptive parent(s).

APPENDIX C TO PART 1355—ELECTRONIC
DATA TRANSMISSION FORMAT
All AFCARS data to be sent from title IV–
E agencies to the Department are to be in
electronic form. In order to meet this general specification, the Department will offer
as much flexibility as possible. Technical assistance will be provided to negotiate a
method of transmission best suited to the
title IV–E agency’s environment.
There will be four semi-annual electronic
data transmissions from the title IV–E agency to the Administration for Children and
Families (ACF).
Regardless of the electronic data transmission methodology selected, certain criteria must be met by the title IV–E agency:
(1) Records must be written using ASCII
standard character format.
(2) All elements must be comprised of integer (numeric) value(s). Element character
length specifications refer to the maximum
number of numeric values permitted for that
element. See Appendix D.
(3) All records must be a fixed length. The
Foster Care Detailed Data Elements Record
is 150 characters long and the Adoption Detailed Data Elements Record is 72 characters
long. The Foster Care Summary Data Elements Record and the Adoption Summary
Data Elements Record are each 172 characters long.
(4) All title IV–E agencies must inform the
Department, in writing, of the method of
transfer they intend to use.
[77 FR 934, Jan. 6, 2012]

APPENDIX D TO PART 1355—FOSTER
CARE AND ADOPTION RECORD LAYOUTS
A. Foster Care

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VIII. Adoption Support
A. Is The Child Receiving a Monthly Subsidy?
Enter ‘‘yes’’ if this child was adopted with
an adoption assistance agreement under
which regular subsidies (Federal, State, or
Tribal) are paid.
B. Monthly Amount—Indicate the monthly
amount of the subsidy. The amount of the
subsidy should be rounded to the nearest dollar. Indicate ‘‘0’’ if the subsidy includes only
benefits under titles XIX or XX of the Social
Security Act.
C. If VIII.A is ‘‘Yes,’’ is Child Receiving
Title IV–E Adoption Subsidy?
If VIII.A is ‘‘yes,’’ indicate whether the
subsidy is claimed by the title IV–E agency
for reimbursement under title IV–E. Do not
include title IV–E non-recurring costs in this
item.
[77 FR 934, Jan. 6, 2012]

1. Foster Care Semi-Annual Detailed Data
Elements Record
a. The record will consist of 66 data elements.
b. Data must be supplied for each of the
elements in accordance with these instructions:
(1) All data must be numeric. Enter the appropriate value for each element.
(2) Enter date values in year, month and
day order (YYYYMMDD), e.g., 19991030 for
October 30, 1999, or year and month order
(YYYYMM), e.g., 199910 for October 1999.
Leave the element value blank if dates are
not applicable.
(3) For elements 8, 11–15, 26–40, 52, 54 and
59–65, which are ‘‘select all that apply’’ elements, enter a ‘‘1’’ for each element that applies, enter a zero for non-applicable elements.

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(4) Transaction Date—is a computer generated date indicating when the datum (Elements 21 or 55) is entered into the title IV–
E agency’s automated information system.
(5) Report the status of all children in foster care as of the last day of the reporting
period. Also, provide data for all children

Pt. 1355, App. D

who were discharged from foster care at any
time during the reporting period, or in the
previous reporting period, if not previously
reported.
c. Foster Care Semi-Annual Detailed Data
Elements Record Layout follows:

Element No.

Appendix A data element

Data element description

01 ...............................
02 ...............................
03 ...............................

I.A ..............................
I.B ..............................
I.C ..............................

04 ...............................
05 ...............................
06 ...............................
07 ...............................
08 ...............................
08a .............................
08b .............................
08c .............................
08d .............................
08e .............................
08f ..............................
09 ...............................
10 ...............................

I.D ..............................
I.E ..............................
II.A .............................
II.B .............................
II.C.1 ..........................
....................................
....................................
....................................
....................................
....................................
....................................
II.C.2 ..........................
II.D .............................

11
12
13
14
15
16
17

...............................
...............................
...............................
...............................
...............................
...............................
...............................

II.D.1.a .......................
II.D.1.b .......................
II.D.1.c .......................
II.D.1.d .......................
II.D.1.e .......................
II.E.1 ..........................
II.E.2 ..........................

18
19
20
21
22
23
24

...............................
...............................
...............................
...............................
...............................
...............................
...............................

III.A.1
III.A.2
III.A.3
III.A.4
III.A.5
III.B.1
III.B.2

Title IV–E agency ..................................................................
Report period ending date ....................................................
Local Agency FIPS code (county or equivalent jurisdiction)
or other ACF assigned code.
Record number .....................................................................
Date of most recent periodic review .....................................
Child’s date of birth ...............................................................
Sex ........................................................................................
Race.
American Indian or Alaska native .........................................
Asian .....................................................................................
Black or African American ....................................................
Native Hawaiian or Other Pacific Islander ............................
White .....................................................................................
Unable to Determine .............................................................
Hispanic or Latino Ethnicity ..................................................
Has this child been clinically diagnosed as having a disability(ies).
Indicate each type of disability of the child with a ‘‘1’’ for
elements 11–15 and a zero for disabilities that do not
apply.
Mental retardation .................................................................
Visually or hearing impaired .................................................
Physically disabled ................................................................
Emotionally disturbed (DSM III) ............................................
Other medically diagnosed condition requiring special care
Has this child ever been adopted .........................................
If yes, how old was the child when the adoption was legalized?
Date of first removal from home ...........................................
Total number of removals from home to date ......................
Date child was discharged from last foster care episode ....
Date of latest removal from home ........................................
Removal transaction date .....................................................
Date of placement in current foster care setting ..................
Number of previous placement settings during this removal
episode.
Manner of removal from home for current placement episode.
Actions or conditions associated with child’s removal: Indicate with a ‘‘1’’ for elements 26–40 and a zero for conditions that do not apply.
Physical abuse (alleged/reported) ........................................
Sexual abuse (alleged/reported) ...........................................
Neglect (alleged/reported) ....................................................
Alcohol abuse (parent) ..........................................................
Drug abuse (parent) ..............................................................
Alcohol abuse (child) ............................................................
Drug abuse (child) ................................................................
Child’s disability ....................................................................
Child’s behavior problem ......................................................
Death of parent(s) .................................................................
Incarceration of parent(s) ......................................................
Caretaker’s inability to cope due to illness or other reasons
Abandonment ........................................................................
Relinquishment .....................................................................
Inadequate housing ..............................................................
Current placement setting .....................................................
Out of State/Tribal service area placement ..........................
Most recent case plan goal ..................................................
Caretaker family structure .....................................................
Year of birth (1st principal caretaker) ...................................
Year of birth (2nd principal caretaker) ..................................
Date of mother’s parental rights termination ........................
Date of legal or putative father’s parental rights ..................

.........................
.........................
.........................
.........................
.........................
.........................
.........................

25 ...............................

IV.A ............................

26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48

IV.B.1 .........................
IV.B.2 .........................
IV.B.3 .........................
IV.B.4 .........................
IV.B.5 .........................
IV.B.6 .........................
IV.B.7 .........................
IV.B.8 .........................
IV.B.9 .........................
IV.B.10 .......................
IV.B.11 .......................
IV.B.12 .......................
IV.B.13 .......................
IV.B.14 .......................
IV.B.15 .......................
V.A .............................
V.B .............................
VI ...............................
VII.A ...........................
VII.B.1 ........................
VII.B.2 ........................
VIII.A ..........................
VIII.B ..........................

...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................

Number of numeric characters

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6
5
12
8
8
1
1
1
1
1
1
1
1
1

1
1
1
1
1
1
1
8
2
8
8
8
8
2
1

1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
4
4
8
8

Pt. 1355, App. D

45 CFR Ch. XIII (10–1–12 Edition)

Element No.

Appendix A data element

Data element description

49 ...............................
50 ...............................
51 ...............................
52 ...............................
52a .............................
52b .............................
52c .............................
52d .............................
52e .............................
52f ..............................
53 ...............................
54 ...............................
54a .............................
54b .............................
54c .............................
54d .............................
54e .............................
54f ..............................
55 ...............................
56 ...............................
57 ...............................
58 ...............................

IX.A ............................
IX.B.1 .........................
IX.B.2 .........................
IX.C.1 .........................
....................................
....................................
....................................
....................................
....................................
....................................
IX.C.2 .........................
IX.C.3 .........................
....................................
....................................
....................................
....................................
....................................
....................................
IX.C.4 .........................
X.A.1 ..........................
X.A.2 ..........................
X.B .............................

59
60
61
62
63
64
65
66

XI.A ............................
XI.B ............................
XI.C ............................
XI.D ............................
XI.E ............................
XI.F ............................
XI.G ...........................
XII ..............................

Foster family structure ..........................................................
Year of birth (1st foster caretaker) .......................................
Year of birth (2nd foster caretaker) ......................................
Race of 1st foster caretaker.
American Indian or Alaska Native ........................................
Asian .....................................................................................
Black or Asian American ......................................................
Native Hawaiian or Other Pacific Islander ............................
White .....................................................................................
Unable to Determine .............................................................
Hispanic or Latino ethnicity of 1st foster caretaker ..............
Race of 2nd foster caretaker.
American Indian or Alaska Native ........................................
Asian .....................................................................................
Black or African American ....................................................
Native Hawaiian or Other Pacific Islander ............................
White .....................................................................................
Unable to Determine .............................................................
Hispanic or Latino ethnicity of 2nd foster caretaker .............
Date of discharge from foster care .......................................
Foster care discharge transaction date ................................
Reason for discharge ............................................................
Sources of Federal support/assistance for child; indicate
with a ‘‘1’’ for elements 58–64 and a zero for sources
that do not apply.
Title IV–E (Foster Care) ........................................................
Title IV–E (Adoption Assistance) ..........................................
Title IV–A (Aid to Families With Dependent Children) .........
Title IV–D (Child Support) .....................................................
Title XIX (Medicaid) ..............................................................
SSI or other Social Security Act benefits .............................
None of the above ................................................................
Amount of monthly foster care payment (regardless of
source).

...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................

Number of numeric characters

Total characters .............................................................

2. Foster Care Semi-Annual Summary
Data Elements Record
a. The record will consist of 22 data elements.
The values for these data elements are generated by processing all records in the semiannual detailed data transmission and computing the summary values for Elements 1
and 3–22. Element 2 is the semi-annual report
period ending date. In calculating the age
range for the child, the last day of the reporting period is to be used.

pmangrum on DSK3VPTVN1PROD with

Element No.
01
02
03
04
05
06
07
08
09
10
11
12
13
14
15
16

...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................

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Number of records ........................................................................................................
Report period ending date (YYYYMM) .........................................................................
Children in care under 1 year .......................................................................................
Children in care 1 year old ...........................................................................................
Children in care 2 years old .........................................................................................
Children in care 3 years old .........................................................................................
Children in care 4 years old .........................................................................................
Children in care 5 years old .........................................................................................
Children in care 6 years old .........................................................................................
Children in care 7 years old .........................................................................................
Children in care 8 years old .........................................................................................
Children in care 9 years old .........................................................................................
Children in care 10 years old .......................................................................................
Children in care 11 years old .......................................................................................
Children in care 12 years old .......................................................................................
Children in care 13 years old .......................................................................................

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1
1
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8
1

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1
1
1
1
1
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Number of
characters

Summary data file

PO 00000

1
1
1
1
1
1
1

b. Data must be supplied for each of the
elements in accordance with these instructions:
(1) Enter the appropriate value for each
element.
(2) For all elements where the total is zero,
enter a numeric zero.
(3) Enter date values in year, month order
(YYYYMM), e.g.,199912 for December 1999.
c. Foster Care Semi-Annual Summary
Data Elements Record Layout follows:

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6
8
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8
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8
8
8
8
8
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Office of Human Development Services, HHS
Element No.
17
18
19
20
21
22

Number of
characters

Summary data file

...............................
...............................
...............................
...............................
...............................
...............................

Children
Children
Children
Children
Children
Children

in
in
in
in
in
in

care
care
care
care
care
care

14 years old .......................................................................................
15 years old .......................................................................................
16 years old .......................................................................................
17 years old .......................................................................................
18 years old .......................................................................................
over 18 years old ...............................................................................

8
8
8
8
8
8

Record Length .......................................................................................................

174

B. Adoption
1. Adoption Semi-Annual Detailed Data
Elements Record
a. The record will consist of 37 data elements.
b. Data must be supplied for each of the
elements in accordance with these instructions:
(1) Enter the appropriate value for each
element.

pmangrum on DSK3VPTVN1PROD with

Pt. 1355, App. D

(2) Enter date values in year, month and
day order (YYYYMMDD), e.g., 19991030 for
October 30, 1999, or year and month
(YYYYMM), e.g., 199910 for October 1999.
Leave the element value blank if dates are
not applicable.
(3) For elements 7, 11–15, 25, 27 and 29–32
which are ‘‘select all that apply’’ elements,
enter a ‘‘1’’ for each element that applies;
enter a zero for non-applicable elements.
c. Adoption Semi-Annual Detailed Data
Elements Record Layout follows:

Element No.

Appendix B data element

Data element description

Number of numeric characters

01 ...............................
02 ...............................
03 ...............................
04 ...............................
05 ...............................
06 ...............................
07 ...............................
07a .............................
07b .............................
07c .............................
07d .............................
07e .............................
07f ..............................
08 ...............................
09 ...............................

I.A ..............................
I.B ..............................
I.C ..............................
I.D ..............................
II.A .............................
II.B .............................
II.C.1 ..........................
....................................
....................................
....................................
....................................
....................................
....................................
II.C.2 ..........................
III.A ............................

10 ...............................

III.B ............................

11 ...............................
12 ...............................
13 ...............................
14 ...............................
15 ...............................
16 ...............................
17 ...............................
18 ...............................
19 ...............................
20 ...............................
21 ...............................
22 ...............................
23 ...............................
24 ...............................
25 ...............................
25a .............................
25b .............................
25c .............................
25d .............................
25e .............................
25f ..............................
26 ...............................
27 ...............................
27a .............................
27b .............................

III.B.1.a ......................
III.B.1.b ......................
III.B.1.c ......................
III.B.1.d ......................
III.B.1.e ......................
IV.A.1 .........................
IV.A.2 .........................
IV.B ............................
V.A.1 ..........................
V.A.2 ..........................
V.B .............................
VI.A ............................
VI.B.1 .........................
VI.B.2 .........................
VI.C.1 .........................
....................................
....................................
....................................
....................................
....................................
....................................
VI.C.2 .........................
VI.C.3 .........................
....................................
....................................

Title IV–E agency ..................................................................
Report period ending date ....................................................
Record number .....................................................................
Title IV–E agency involvement .............................................
Date of birth ..........................................................................
Sex ........................................................................................
Race.
American Indian or Alaska Native ........................................
Asian .....................................................................................
Black or African American ....................................................
Native Hawaiian or Other Pacific Islander ............................
White .....................................................................................
Unable to Determine .............................................................
Hispanic or Latino ethnicity ...................................................
Has the title IV–E agency determined that this child has
special needs.
Primary basis for special needs ...........................................
Indicate a primary basis of special needs with a ‘‘1’’ for elements 11–15. Enter a zero for special needs that do not
apply.
Mental retardation .................................................................
Visually or hearing impaired .................................................
Physically disabled ................................................................
Emotionally disturbed (DSM III) ............................................
Other medically diagnosed condition requiring special care
Mother’s year of birth ............................................................
Father’s (Putative or legal) year of birth ...............................
Was the mother married at time of child’s birth ...................
Date of mother’s termination of parental rights ....................
Date of father’s termination of parental rights ......................
Date adoption legalized ........................................................
Adoptive parents family structure .........................................
Mother’s year of birth (if applicable) .....................................
Father’s year of birth (if applicable) ......................................
Adoptive mother’s race.
American Indian or Alaska Native ........................................
Asian .....................................................................................
Black or African American ....................................................
Native Hawaiian or Other Pacific Islander ............................
White .....................................................................................
Unable to Determine .............................................................
Hispanic or Latino Ethnicity ..................................................
Adoptive father’s race.
American Indian or Alaska Native ........................................
Asian .....................................................................................

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6
1
6
1
1
1
1
1
1
1
1
1
1

1
1
1
1
1
4
4
1
8
8
8
1
4
4
1
1
1
1
1
1
1
1
1

Pt. 1355, App. D

45 CFR Ch. XIII (10–1–12 Edition)

Element No.

Appendix B data element

Data element description

27c .............................
27d .............................
27e .............................
27f ..............................
28 ...............................

....................................
....................................
....................................
....................................
VI.C.4 .........................

29
30
31
32
33
34
35
36
37

VI.D.1 .........................
VI.D.2 .........................
VI.D.3 .........................
VI.D.4 .........................
VII.A ...........................
VII.B ...........................
VIII.A ..........................
VIII.B ..........................
VIII.C ..........................

Black or African American ....................................................
Native Hawaiian or Other Pacific Islander ............................
White .....................................................................................
Unable to Determine .............................................................
Hispanic or Latino Ethnicity ..................................................
Indicate each type of relationship of adoptive parent(s) to
the child with a ‘‘1’’ for elements 29–32. Enter a zero for
relationships that do not apply below.
Stepparent .............................................................................
Other relative of child by birth or marriage ...........................
Foster parent of child ............................................................
Other non-relative .................................................................
Child was placed from ..........................................................
Child was placed by ..............................................................
Is this child receiving a monthly subsidy ..............................
If VIII.B is ‘‘yes.’’ What is the monthly amount .....................
If VII.B is ‘‘yes.’’ Is the child receiving title IV–E adoption
assistance?.

...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................

Number of numeric characters

Total Characters ............................................................

2. Adoption Semi-Annual Summary Data
Elements Record
a. The record will consist of 22 data elements.
The values for these data elements are generated by processing all records in the semiannual detailed data transmission and computing the summary values for Elements 1
and 3–22. Element 2 is the semi-annual report
period ending date. In calculating the age
range for the child, the last day of the reporting period is to be used.
Element No.

pmangrum on DSK3VPTVN1PROD with

01
02
03
04
05
06
07
08
09
10
11
12
13
14
15
16
17
18
19
20
21
22

...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................
...............................

1
1
1
1
1

1
1
1
1
1
1
1
5
1
............................

b. Data must be supplied for each of the
elements in accordance with these instructions:
(1) Enter the appropriate value for each
element.
(2) For all elements where the total is zero,
enter a numeric zero.
(3) Enter data values in year, month order
(YYYYMM), e.g., 199912 for December 1999.
c. Adoption Semi-Annual Summary Data
Element Record Layout follows:
Number of
characters

Summary data file
Number of records ........................................................................................................
Report period ending date (YYYYMM) .........................................................................
Children adopted Under 1 year old ..............................................................................
Children adopted 1 year old .........................................................................................
Children adopted 2 years old .......................................................................................
Children adopted 3 years old .......................................................................................
Children adopted 4 years old .......................................................................................
Children adopted 5 years old .......................................................................................
Children adopted 6 years old .......................................................................................
Children adopted 7 years old .......................................................................................
Children adopted 8 years old .......................................................................................
Children adopted 9 years old .......................................................................................
Children adopted 10 years old .....................................................................................
Children adopted 11 years old .....................................................................................
Children adopted 12 years old .....................................................................................
Children adopted 13 years old .....................................................................................
Children adopted 14 years old .....................................................................................
Children adopted 15 years old .....................................................................................
Children adopted 16 years old .....................................................................................
Children adopted 17 years old .....................................................................................
Children adopted 18 years old .....................................................................................
Children adopted over 18 years old .............................................................................

8
6
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8
8

Record Length .......................................................................................................

174

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Office of Human Development Services, HHS
[77 FR 934, Jan. 6, 2012]

APPENDIX E TO PART 1355—DATA
STANDARDS
All data submissions will be evaluated to
determine the completeness and internal
consistency of the data. Four types of assessments will be conducted on both the foster
care and adoption data submissions. The results of these assessments will determine the
applicability of a substantial noncompliance
determination with the title IV–E plan.
The four types of assessments are:
• Comparisons of the detailed data to summary data;
• Internal consistency checks of the detailed data;
• An assessment of the status of missing
data; and
• Timeliness, an assessment of how current
the submitted data are.
A. Foster Care
1. Summary Data Elements Submission
Standards
A summary file must accompany the Detailed Data Elements submission. Both
transmissions must be sent through electronic means (see appendix C for details).
This summary will be used to verify basic
counts of records on the detailed data received.
a. The summary file must be a discrete file
separate from the semi-annual reporting period detailed data file. The record layout for
the summary file is included in appendix D.
section A.2.c. All data must be included. If
the value for a numeric field is zero, zero
must be entered.
b. The Department will develop a second
summary file by computing the values from
the detailed data file received from the title
IV–E agency. The two summary files (the
one submitted by the title IV–E agency and
the one created during Federal processing)
will be compared, field by field. If the two
files match, further validation of the detailed data elements will commence. If the
two summary files do not match, we will assume that there has been an error in transmission and will request a retransmission
from the title IV–E agency within 24 hours of
the time the title IV–E agency has been notified. In addition, a log of these occurrences
will be kept as a means of cataloging problems and offering suggestions on improved
procedures.

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2. Detailed Data File Submission Standards
a. Internal Consistency Validations.
Internal consistency validations involve
evaluating the logical relationships between
data elements in a detailed record. For example, a child cannot be discharged from foster care before he or she has been removed

Pt. 1355, App. E

from his or her home. Thus, the Date of Latest Removal From Home data element must
be a date prior to the Date of Discharge. If
this is not the case, an internal inconsistency will be detected and an ‘‘error’’ indicated in the detailed data file.
A number of data elements have ‘‘if applicable’’ contingency relationships with other
data elements in the detailed record. For example, if the Foster Family Structure has
only a single parent, then the appropriate
sex of the Single Female/Male element in the
‘‘Year of Birth’’ and ‘‘Race/Origin’’ elements
must be completed and the ‘‘non-applicable’’
fields for these elements are to be filled with
zero’s or, for dates, left blank.
The internal consistency validations that
will be performed on the foster care detailed
data are as follows:
(1) The Local Agency must be the county
or a county equivalent unit which has responsibility for the case. The 5 digit Federal
Information Processing Standard (FIPS) or
other ACF assigned code must be used.
(2) If Date of Latest Removal From Home
(Element 21) is less than nine months prior
to the Report Period Ending Date (Element
2) then the Date of Most Recent Periodic Review (Element 5) may be left blank.
(3) If Date of Latest Removal From Home
(Element 21) is greater than nine months
from Report Date (Element 2) then the Date
of Most Recent Periodic Review (Element 5)
must not be more than nine months prior to
the Report Date (Element 2).
(4) If a child is identified as having a disability(ies) (Element 10), at least one Type of
Disability Condition (Elements 11–15) must
be indicated. Enter a zero (0) for disabilities
that do not apply.
(5) If the Total Number of Removals From
Home to Date (Element 19) is one (1), the
Date Child was Discharged From Last Foster
Care Episode (Element 20) must be blank.
(6) If the Total Number of Removals From
Home to Date (Element 19) is two or more,
then the Date Child was Discharged From
Last Foster Care Episode (Element 20) must
not be blank.
(7) If Date Child was Discharged From Last
Foster Care Episode (Element 20) exists, then
this date must be a date prior to the Date of
Latest Removal From Home (Element 21).
(8) The Date of Latest Removal From
Home (Element 21) must be prior to the Date
of Placement in Current Foster Care Setting
(Element 23).
(9) At least one element between elements
26 and 40 must be answered by selecting a
‘‘1’’. Enter a zero (0) for conditions that do
not apply.
(10) If Current Placement Setting (Element
41) is a value that indicates that the child is
not in a foster family or a pre-adoptive
home, then elements 49–55 must be zero (0).
(11) At least one element between elements
59 and 65 must be answered by selecting a

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Pt. 1355, App. E

45 CFR Ch. XIII (10–1–12 Edition)

‘‘1’’. Enter a zero for sources that do not
apply.
(12) If the answer to the question, ‘‘Has
this child ever been adopted?’’ (Element 16)
is ‘‘1’’ (Yes), then the question, ‘‘How old was
the child when the adoption was legalized?’’
(Element 17) must have an answer from ‘‘1’’
to ‘‘5.’’
(13) If the Date of Most Recent Periodic
Review (Element 5) is not blank, then Manner of Removal From Home for Current
Placement Episode (Element 25) cannot be
option 3, ‘‘Not Yet Determined.’’
(14) If Reason for Discharge (Element 58) is
option 3, ‘‘Adoption,’’ then Parental Rights
Termination dates (Elements 46 and 47) must
not be blank.
(15) If the Date of Latest Removal From
Home (Element 21) is present, the Date of
Latest Removal From Home Transaction
Date (Element 22) must be present and must
be later than or equal to the Date of Latest
Removal From Home (Element 21).
(16) If the Date of Discharge From Foster
Care (Element 56) is present, the Date of Discharge From Foster Care Transaction Date
(Element 57) must be present and must be
later than or equal to the Date of Discharge
From Foster Care (Element 56).
(17) If the Date of Discharge From Foster
Care (Element 56) is present, it must be after
the Date of Latest Removal From Home
(Element 21).
(18) In Elements 8, 52, and 54, race categories (‘‘a’’ through ‘‘e’’) and ‘‘f. Unable to
Determine’’ cannot be coded ‘‘0,’’ for it does
not apply. If any of the race categories apply
and are coded as ‘‘1’’ then ‘‘f. Unable to Determine’’ cannot also apply.
b. Out-of-Range Standards.
Out-of-range standards relate to the occurrence of values in response to data elements
that exceed, either positively or negatively,
the acceptable range of responses to the
question. For example, if the acceptable responses to the element, Sex of the Adoptive
Child, is ‘‘1’’ for a male and ‘‘2’’ for a female,
but the datum provided in the element is
‘‘3,’’ this represents an out-of-range response
situation.
Out-of-range comparisons will be made for
all elements. The acceptable values are described in Appendix A, Section I.

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3. Missing Data Standards
The term ‘‘missing data’’ refers to instances where data for an element are required but are not present in the submission.
Data elements with values of ‘‘Unable to Determine,’’ ‘‘Not Yet Determined’’ or which
are not applicable, are not considered missing.
a. In addition, the following situations will
result in converting data values to a missing
data status:

(1) Data elements whose values fail internal consistency validations as outlined in
A.2.a.(1)–(18) above, and
(2) Data elements whose values are out-ofrange.
b. The maximum amount of allowable
missing data is dependent on the data elements as described below:
(1) No Missing Data.
The data for the elements listed below
must be present in all records in the submission. If any record contains missing data for
any of these elements, the entire submission
will be considered missing and processing
will not proceed.
Element No.

Element name

01 ...................
02 ...................
03 ...................

Title IV–E agency.
Report date.
Local agency FIPS code or other ACF assigned code.
Record number.

04 ...................

(2) Less Than Ten Percent Missing Data.
The data for the elements listed below cannot have ten percent or more missing data
without incurring a finding of substantial
noncompliance with the title IV–E plan.
Element No.

Element description

05 ...................
06 ...................
07 ...................
08 ...................
09 ...................
10 ...................
11–15 .............

Date of most recent periodic, review.
Child’s date of birth.
Child’s sex.
Child’s race.
Child’s Hispanic or Latino Ethnicity.
Does child have a disability(ies)?
Type of disability (at least one must be selected).
Has child been adopted?
How old was child when adoption was legalized?
Date of first removal from home.
Total number of removals from home to
date.
Date child was discharged from last foster
care.
Date of latest removal from home.
Removal transaction date.
Date of placement in current foster care setting.
Number of previous placement settings during this removal episode.
Manner of removal from home for current
placement episode.
Actions or conditions associated with child’s
removal (at least one must be selected).
Current placement setting.
Out of State/Tribal service area placement.
Most recent case plan goal.
Caretaker family structure.
Year of birth of 1st principal caretaker.
Year of birth of 2nd principal caretaker.
Date of mother’s parental rights termination.
Legal or putative father parental rights termination date.
Foster family structure.
Year of birth of 1st foster caretaker.
Year of birth of 2nd foster caretaker.
Race of 1st foster caretaker.
Hispanic or Latino Ethnicity of 1st foster
caretaker.

16 ...................
17 ...................
18 ...................
19 ...................
20 ...................
21 ...................
22 ...................
23 ...................
24 ...................
25 ...................
26–40 .............
41
42
43
44
45
46
47
48

...................
...................
...................
...................
...................
...................
...................
...................

49
50
51
52
53

...................
...................
...................
...................
...................

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Office of Human Development Services, HHS
Element No.

Element description

4. Timeliness of Foster Care Data Reports

54 ...................
55 ...................

Race of 2nd foster caretaker.
Hispanic or Latino Ethnicity of 2nd foster
caretaker.
Date of discharge from foster care.
Foster care discharge transaction date.
Reason for discharge.
Sources of Federal support/assistance for
child (at least one must be selected).
Amount of monthly foster care payment (regardless of source).

Title IV–E agencies are required to submit
reports within 45 calendar days after the end
of the semi-annual reporting period.
Computer generated transaction dates indicate the date when key foster care events
are entered into the title IV–E agency’s computer system. The intent of these transaction dates is to ensure that information
about the status of children in foster care is
recorded and, thus, reported in a timely
manner.
a. Date of Latest Removal From Home.
The Date of Latest Removal From Home
Transaction Date (Element 22) must not be
more than 60 days after the Date of Latest
Removal From Home (Element 21) event.
b. The Date of Discharge From Foster Care
Transaction Data (Element 57) must not be
more than 60 days after the Date of Discharge From Foster Care (Element 56) event.
For purposes of a determination of substantial noncompliance with the title IV–E
plan, ninety percent of the records in a detailed data submission, must indicate that:
(1) The difference between the Date of Latest Removal From Home Transaction Date
(Element 22) and the Date of Latest Removal
From Home (Element 21) event is 60 days or
less;
and, where applicable,
(2) The difference between the Date of Discharge From Foster Care Transaction Date
(Element 57), and the Date of Discharge
From Foster Care (Element 56) event is 60
days or less.

56 ...................
57 ...................
58 ...................
59–65 .............
66 ...................

c. Determination of substantial noncompliance with the title IV–E plan.
Missing data are a major factor in determining substantial noncompliance with the
title IV–E plan.
(1) Selection Rules.
All data elements will be used in calculating missing data unless one of the following limiting rules applies to the detailed
case record.
(a) If Date of Latest Removal From Home
(Element 21) and the Date of Discharge From
Foster Care (Element 56) is less than 30 days,
then the following date elements are the
only ones to be used in evaluating the missing data provisions for purposes of a determination of substantial noncompliance with
the title IV–E plan:
Elements
1 to 4
6 to 9
21 and 22
41 and 42
56 to 58

B. Adoption

(b) If Date of Latest Removal From Home
(Element 18) is prior to October 1, 1995, then
the following data elements are the only
ones to be used in evaluating the missing
data provisions for purposes of a determination of substantial noncompliance with the
title IV–E plan:
Elements
1 to 4
6 to 9
21 and 22
41 and 43
56 to 58

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Pt. 1355, App. E

(2) Determination of substantial noncompliance with the title IV–E plan.
The percentage calculation will be performed for each data element. The total
number of detailed records that are included
by the selection rules in 3.c.(1), will serve as
the denominator. The number of missing
data occurrences for each element will serve
as the numerator. The result will be multiplied by one hundred. The determination of
substantial noncompliance with the title IV–
E plan is made when any one element’s missing data percentage is ten percent or greater.

1. Summary Data Elements File Submission
Standards
A summary file must accompany the detailed Data Elements File submission. Both
files must be sent through electronic means
(see appendix C for details). This summary
will be used to verify the completeness of the
Detailed Data File submission received.
a. The summary file should be a discrete
file separate from the semi-annual reporting
period detailed data file. The record layout
for the summary file is included in appendix
D, section B.2.c. All data must be included. If
the value for a numeric field is zero, zero
must be entered.
b. The Department will develop a second
summary file by computing the values from
the detailed data file received from the title
IV–E agency. The two summary files (the
one submitted by the title IV–E agency and
the one created during Federal processing)
will be compared, field by field. If the two
files match, further validation of the detailed data elements will commence. (See
section B.2 below.) If the two summary files
do not match, we will assume that there has

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Pt. 1355, App. E

45 CFR Ch. XIII (10–1–12 Edition)

been an error in transmission and will request a retransmission from the title IV–E
agency within 24 hours of the time the title
IV–E agency has been notified. In addition, a
log of these occurrences will be kept as a
means of cataloging problems and offering
suggestions on improved procedures.
2. Detailed Data Elements File Submission
Standards

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a. Internal Consistency Validations
Internal consistency validations involve
evaluating the logical relationships between
data elements in a detailed record. For example, an adoption cannot be finalized until
parental rights have been terminated. Thus,
the dates of Mother/Father Termination of
Parental Rights, elements must be present
and the dates must be prior to the ‘‘Date
Adoption Legalized.’’ If this is not the case,
an internal inconsistency will be detected
and an ‘‘error’’ indicated in the detailed data
file.
A number of data elements have ‘‘if applicable’’ contingency relationships with other
data elements in the detailed record. For example, if the Adoptive Parent is single, then
the appropriate sex of the single female/male
element in the ‘‘Family Structure,’’ ‘‘Year of
Birth’’ and ‘‘Race/Origin’’ elements must be
completed and the ‘‘non-applicable’’ fields
for these elements are to be filled with zeros
or left blank.
The internal consistency validations that
will be performed on the adoption detailed
data are as follows:
(1) The Child’s Date of Birth (Element 5)
must be later than both the Mother’s and Father’s Year of Birth (Elements 16 and 17) unless either of these is unknown.)
(2) If the title IV–E agency has determined
that the child is a special needs child (Element 9), then ‘‘the primary basis for determining that this child has special needs’’
(Element 10) must be completed. If ‘‘the primary basis for determining that this child
has special needs’’ (Element 10) is answered
by option ‘‘4,’’ then at least one element between Elements 11–15, ‘‘Type of Disability,’’
must be selected. Enter a zero (0) for disabilities that do not apply.
(3) Dates of Parental Rights Termination
(Elements 19 and 20) must be completed and
must be prior to the Date Adoption Legalized (Element 21).
(4) If ‘‘Is a monthly financial subsidy being
paid for this child’’ (Element 35) is answered
negatively, ‘‘2’’, then Element 36 must be
zero (0) and ‘‘Is the subsidy paid under Title
IV–E adoption assistance’’ (Element 37) must
be a ‘‘2’’.
(5) If the ‘‘Child Was Placed By’’ (Element
34) is answered with option 1, ‘‘Public Agency,’’ then the question, ‘‘Did the title IV–E
Agency Have any Involvement in This Adoption’’ (Element 4) must be ‘‘1’’.

(6) If the ‘‘Relationship of Adoptive Parent(s) to the Child,’’ ‘‘Foster Parent of
Child’’ (Element 31) is selected, then the
question, ‘‘Did the title IV–E Agency Have
any Involvement in This Adoption’’ (Element 4) must be ‘‘1’’.
(7) If ‘‘Is a monthly financial subsidy being
paid for this child?’’ (Element 35) answered
‘‘1,’’ then the question, ‘‘Did the title IV–E
Agency Have any Involvement in This Adoption’’ (Element 4) must be ‘‘1.’’
(8) If the ‘‘Family Structure’’ (Element 22)
is option 3, Single Female, then the Mother’s
Year of Birth (Element 23), the ‘‘Adoptive
Mother’s Race’’ (Element 25) and ‘‘Hispanic
or Latino Ethnicity’’ (Element 26) must be
completed. Similarly, if the ‘‘Family Structure’’ (Element 22) is option 4, Single Male,
then the Father’s Year of Birth (Element 24),
the Adoptive Father’s Race’’ (Element 27)
and ‘‘Hispanic or Latino Ethnicity’’ (Element 28) must be completed. If the ‘‘Family
Structure’’ (Element 22) is option 1 or 2, then
both Mother’s and Father’s ‘‘Year of Birth,’’
‘‘Race’’ and ‘‘Hispanic or Latino Ethnicity’’
must be completed.
(9) In Elements 7, 25, and 27, race categories (‘‘a’’ through ‘‘e’’) and ‘‘f. Unable to
Determine’’ cannot be coded ‘‘0,’’ for it does
not apply. If any of the race categories apply
and are coded as ‘‘1’’ then ‘‘f. Unable to Determine’’ cannot also apply.
b. Out-of-Range Standards
Out-of-range standards relate to the occurrence of values in response to data elements
that exceed, either positively or negatively,
the acceptable range of responses to the
question. For example, if the acceptable response to the element, Sex of the Adoptive
Child, is ‘‘1’’ for a male and ‘‘2’’ for a female,
but the datum provided in the element is
‘‘3,’’ this represents an out-of-range response
situation.
Out-of-range comparisons will be made for
all elements. The acceptable values are described in appendix B, section I.
3. Missing Data Standards
The term ‘‘missing data’’ refers to instances where data for an element are required but are not present in the submission.
Data elements with values of ‘‘Unable to Determine,’’ ‘‘Other’’ or which are not applicable, are not considered missing.
a. In addition, the following situations will
result in converting data values to a missing
data status:
(1) Data elements whose values fail internal consistency validations as outlined in
2.a.(1)–(9) above, and
(2) Data elements whose values are out-ofrange.
b. The maximum amount of allowable
missing data is dependent on the data elements as described below.

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Office of Human Development Services, HHS
(1) No Missing Data.
The data for the elements listed below
must be present in all records in the submission. If any record contains missing data for
any of these elements, the entire submission
will be considered missing and processing
will not proceed.
Element
No.
01
02
03
04

Element name

...................
...................
...................
...................

Title IV–E agency.
Report date.
Record number.
Did the title IV–e agency have any involvement in this adoption?

Pt. 1356

Agency have any Involvement in this adoption’’ will be subject to a determination of
substantial noncompliance with the title IV–
E plan.
(2) Determination of substantial noncompliance with the title IV–E plan.
The percentage calculation will be performed for each data element. The total
number of detailed records will serve as the
denominator and the number of missing data
occurrences for each element will serve as
the numerator. The result will be multiplied
by one hundred. The determination of substantial noncompliance with the title IV–E
plan is made when any one element’s missing
data percentage is ten percent or greater.

(2) Less Than Ten Percent Missing Data
The data for the elements listed below cannot have ten percent or more missing data
without incurring a determination of substantial noncompliance with the title IV–E
plan.
Element
No.
05
06
07
08
09
10

Element name

...................
...................
...................
...................
...................
...................

11–15 .............
16
17
18
19

...................
...................
...................
...................

20 ...................
21 ...................
22 ...................
23 ...................
24 ...................
25 ...................
26 ...................
27 ...................
28 ...................
29–32 .............
33 ...................
34 ...................
35 ...................

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36 ...................
37 ...................

Child’s date of birth.
Child’s sex.
Child’s race.
Is the child of Hispanic or Latino ethnicity?
Does child have special needs?
Indicate the primary basis for determining
that the child has special needs. (If Element 09 is yes, you must answer this
question.)
Type of special need (at least one must be
selected.)
Mother’s year of birth.
Father’s year of birth.
Was mother married at time of child’s birth?
Date of mother’s termination of parental
rights.
Date of father’s termination of parental
rights.
Date adoption legalized.
Adoptive parent(s)’ family structure.
Mother’s year of birth.
Father’s year of birth.
Adoptive mother’s race.
Hispanic or Latino ethnicity of mother.
Adoptive father’s race.
Hispanic or Latino ethnicity of father.
Relationship of adoptive parent(s) to child
(at least one must be selected.)
Child placed from.
Child placed by.
Is a monthly financial subsidy paid for this
child?
If yes, the monthly amount is?
Is the child receiving Title IV–E adoption assistance? (If Element 35 is a ‘‘1’’ (Yes) an
answer to this question is required.)

c. Determination of substantial noncompliance with the title IV–E plan.
Missing data are a major factor in determining substantial noncompliance with the
title IV–E plan.
(1) Selection Rules.
Only the adoption records with a ‘‘1’’ (Yes)
answer in Element 4, ‘‘Did the title IV–E

4. Timeliness of Adoption Reports
The title IV–E agency is required to submit reports within 45 calendar days after the
end of the semi-annual reporting period.
For determinations of substantial noncompliance with the title IV–E plan purposes, however, no specific timeliness of data
standards apply. Data on adoptions should be
submitted as promptly after finalization as
possible.
The desired approach to reporting adoption
data is that adoptions should be reported
during the reporting period in which the
adoption is legalized. Or, at the title IV–E
agency’s option, they can be reported in the
following reporting period if the adoption is
legalized within the last 60 days of the reporting period.
Negative reports must be submitted for
any semi-annual period in which no adoptions have been legalized.
[77 FR 934, Jan. 6, 2012]

PART 1356—REQUIREMENTS
APPLICABLE TO TITLE IV-E
Sec.
1356.10 Scope.
1356.20 Title IV–E plan document and submission requirements.
1356.21 Foster care maintenance payments
program implementation requirements.
1356.22 Implementation requirements for
children voluntarily placed in foster
care.
1356.30 Safety requirements for foster care
and adoptive home providers.
1356.40 Adoption assistance program: Administrative requirements to implement
section 473 of the Act.
1356.41 Nonrecurring expenses of adoption.
1356.50 Withholding of funds for non-compliance with the approved title IV–E plan.
1356.60 Fiscal requirements (title IV-E).
1356.65–1356.66 [Reserved]
1356.67 Procedures for the transfer of placement and care responsibility of a child

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